Publication

Securities and Exchange Commission Year in Review: Enforcement Actions and Issues from 2020

April 01, 2021

2020 was an especially eventful year for the SEC Division of Enforcement. In a recent issue of The Investment Lawyer, partners Lisa Wood and John Murray and associates Christian Garcia and E. Jacqueline Ch├ívez examine last year’s highlights and discuss the enforcement outlook for the coming year.

Topics include:
  • Enforcement in 2020: Continuity and Change
  • COVID-19 and Enforcement
  • A Record Year for the Whistleblower Program
  • Scope of the SEC's Authority Remains Unsettled
  • Private Funds Remain in Enforcement's Sights
  • Broker-Dealers and Market Integrity

Read the full article from The Investment Lawyer here.