SEC Enforcement Trends: Five Key Takeaways

Harvard Law School Forum on Corporate Governance

04 Jan 2022

Jina Choi, Haima Marlier, Michael Birnbaum, and Anissa Chitour authored an article for the Harvard Law School Forum on Corporate Governance covering the U.S. Securities and Exchange Commission’s (SEC) recent announcement of its enforcement results for FY21 and how the data from FY21 suggest that this new SEC will pursue an aggressive enforcement agenda for FY22. 

“Between an increasing appetite for aggressive enforcement and the offer of huge rewards for whistleblowers, the Commission’s drop in overall cases in FY21 will not likely continue in the coming year. With the SEC thinking strategically and creatively about how to enforce the securities laws and protect investors, public companies and registrants should carefully assess their compliance and whistleblower response programs.”

Read the full article.



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