When SEC Knocks: 8 Immediate Actions For Every Company

Law360, New York (January 26, 2017, 3:15 PM EST) -- Mary P. Hansen

Stephen G. Stroup Over the last several years, the U.S. Securities and Exchange Commission has flexed its regulatory muscle like never before. In fiscal 2016, it filed 548 independent enforcement actions and, for the third consecutive year, obtained more than $4 billion in civil penalties and disgorgement through judgments and orders. Among these actions, SEC enforcement brought a record-setting 98 stand-alone cases against investment companies or investment advisers. It also filed 92 actions involving public company-related defendants, doubling the amount brought three years earlier. While changes in policy and focus under the Donald Trump administration are expected, one...

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