SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2022 Update
The SEC filed 68 enforcement actions against public companies and subsidiaries in the first full fiscal year of Chair Gary Gensler’s tenure.
SEC Ramps Up Enforcement against Public Companies and Subsidiaries in FY 2022
The SEC imposed $2.8 billion in monetary settlements, the largest total in any fiscal year recorded in the Securities Enforcement Empirical Database.
The Gensler SEC: What to Expect in 2022
Since Gary Gensler became chair of the SEC in April 2021, his agency has signaled an active agenda that many expect will be aggressively enforced.
René Stulz Honored in Special Edition of Journal of Applied Corporate Finance
Professor Stulz’s articles are republished in a special edition of the journal, which highlights his more than four decades of research on globalization, corporate finance, and risk management.
Accounting and Auditing Enforcement Activity—2021 Review and Analysis
In a year characterized by leadership transitions at the SEC and the PCAOB, overall accounting and auditing enforcement activity decreased.
SEC Accounting and Auditing Enforcement Activity Fell Sharply in 2021
PCAOB enforcement levels remained low.
SEC Cryptocurrency Enforcement: 2021 Update
Under the new administration, the SEC has continued its role as one of the main regulators in the cryptocurrency space.
SEC Maintains Focus on Cryptocurrency Enforcement under Chair Gensler
New administration brings first-of-their-kind cryptocurrency enforcement actions.
Lynda Schwartz Named a 2021 Forensic & Litigation Services Volunteer of the Year
The American Institute of CPAs honored Professor Schwartz for her significant contributions to the practice and profession of forensic accounting and valuation.
SEC Actions against Public Companies and Subsidiaries Declined Again in FY 2021
Monetary settlements imposed in FY 2021 totaled $1.8 billion.
SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2021 Update
The U.S. Securities and Exchange Commission filed fewer enforcement actions against public companies and subsidiaries in fiscal year 2021, the lowest total in seven years.
SEC Cryptocurrency Enforcement: Q3 2021 Update
Under the Biden administration, the SEC continues to be active in policing the cryptocurrency space with 19 enforcement actions related to cryptocurrency brought in the first nine months of 2021.
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