The past decade or so has been a challenging time for publicly held companies, particularly those in the financial sector. Since 2008, banks and financial services firms have been the subject of an aggressive effort by the...more
Despite consternation from some quarters, Jay Clayton’s experience representing Wall Street firms and other public companies is an asset not a liability for the Securities and Exchange Commission.
When President Donald...more
Enforcement activity increased again in fiscal year 2016, and the U.S. Securities and Exchange Commission (“SEC”) continued to pursue a broad agenda. Consistent with former Chair Mary Jo White’s “broken windows” enforcement...more
3/2/2017
/ Broken Windows ,
Deregulation ,
Dodd-Frank ,
Enforcement Actions ,
Enforcement Statistics ,
Foreign Corrupt Practices Act (FCPA) ,
Insider Trading ,
Mary Jo White ,
Securities and Exchange Commission (SEC) ,
Trump Administration ,
US v Newman ,
US v Salman ,
Whistleblower Awards
The election of Donald Trump as the next President and the continued Republican control of Congress raise questions as to what changes may be expected at the Securities and Exchange Commission (SEC or Commission) and what may...more