Introduction Understanding the trend of SEC enforcement is an important consideration for virtually any business. From public companies, whose shares are registered with the agency and whose reports are on file with it, to market professionals such as brokers, …

Read More »

This is the final installment of this series. The first installment focused on statistics for the second quarter of 2023, noting that 46 enforcement actions were filed by the SEC. The second part of the series provided examples of the …