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Consumer Financial Services Law Monitor

Monitoring the financial services industry to help companies navigate through regulatory compliance, enforcement, and litigation issues

Kurt Wolfe

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Where Have The SEC Enforcement Actions Gone?

By Kurt Wolfe on September 24, 2018
Posted in ALL CFS Blog Entries, Featured Posts

In several weeks, the U.S. Securities and Exchange Commission will release its annual enforcement results, and speculation about the trajectory of the SEC’s Division of Enforcement will resume in full force.

The results will reflect enforcement activity from the first full fiscal year of Jay Clayton’s tenure as SEC chairman. In the 16 months since…

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