Securities Enforcement Alert

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

April 1, 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 Chávez 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