SEC Enforcement in Financial Reporting and Disclosure: 2019 Year-End Update
We are pleased to present our annual year-end update on financial reporting and issuer disclosure enforcement activity for 2019. This White Paper focuses on the U.S. Securities and Exchange Commission's ("SEC") enforcement activity for the second half of 2019 but also discusses other recent developments, including relevant pending Supreme Court cases and SEC rulemaking activity. Overall, the agency has been active this year, driven largely by its continued focus on protecting "retail investors" and interest in naming individuals.
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