Securities and Exchange Commission Year in Review Enforcement Actions and Issues from 2019 The Investment Layer

May 01, 2020

Foley Hoag attorneys Lisa Wood, John Murray and Christian Garcia authored an overview for The Investment Lawyer on recent developments in the SEC’s enforcement program and the outlook for this year.

Segments include:

  • A Year of Continuity, Change, and Division within the SEC
  • Commission’s Authority Faces Constitutional Challenges, Legislative Proposals
  • Insider Trading Still a Focus
  • Investment Advisers Remain a Prime Target for SEC Enforcement
  • Interpretive Guidance on Disclosure of Conflicts
  • Digital Assets and Cybersecurity Remain Enforcement Priorities
  • Public Company Accounting and Disclosure Remain an Enforcement Mainstay
  • Municipal Securities Remain an Enforcement Concern
  • The FCPA Remains a Focus

Read Volume I and Volume II of the series.