Cornerstone Research Connects: SEC Cryptocurrency Enforcement—Q3 2013–Q4 2020
The authors discuss key trends of the SEC’s enforcement actions against digital asset market participants.
Cornerstone Research Report Shows SEC Establishes Itself as a Key U.S. Cryptocurrency Regulator
More than one-third of crypto-related actions involved allegations of both fraud and unregistered securities offerings.
SEC Cryptocurrency Enforcement—Q3 2013–Q4 2020
The SEC brought 75 cryptocurrency-related enforcement actions from Q3 2013 to Q4 2020, allegations of fraud and unregistered securities offerings were the most frequent.
Accounting and Auditing Enforcement Activity—2020 Review and Analysis
The SEC and PCAOB publicly disclosed 63 accounting and auditing enforcement actions during 2020. Monetary settlements totaled more than $1.4 billion.
Former SEC Officials Predict SEC Priorities
The authors discuss potential changes to disclosure and enforcement policies at the Securities and Exchange Commission under the Biden administration.
Cross-Market Manipulation Under the Microscope
The authors discuss illustrative cross-market manipulation enforcement cases and their implications for market participants in the EU, UK and US.
Financial Reporting Investigation Following SEC Inquiry
Cornerstone Research was retained by counsel for an investigation into an entity’s financial statement close and reporting process in response to issues raised by the SEC.
Revenue and Financial Reporting Internal Investigation
Cornerstone Research analyzed accounting and business records for a healthcare-related company.
Jennifer Marietta-Westberg Joins ILE Board of Directors
Dr. Marietta-Westberg was invited to serve on the board of directors at the Institute for Law and Economics at the University of Pennsylvania.
Leveraged and Inverse ETFs
On behalf of a financial institution, Cornerstone Research examined investor trading activity in leveraged and inverse ETFs.
Trading in ETF Basket Securities by an Authorized Participant
Counsel for an ETF sponsor retained Cornerstone Research to examine the potential manipulation of the NAV of certain fixed-income ETFs through trading in the market for the underlying bonds.
Trading in ETF Shares by Affiliated Parties
Cornerstone Research assisted a financial institution with its internal investigation into trading in ETF shares by affiliated parties.
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