
Dan Brecher
Counsel
212-286-0747 dbrecher@sh-law.comCounsel
212-286-0747 dbrecher@sh-law.comWith the Securities and Exchange Commission (SEC) appearing to be focusing more intensely on public company report filings and on misdeeds of investment advisors, other aspects of the securities markets are now receiving less attention under the Trump Administration, according to a new report. It found that new enforcement actions against public companies and subsidiaries decreased by 33 percent in the fiscal year 2017 compared to the prior fiscal year.
The report, “SEC Enforcement Activity: Public Companies and Subsidiaries, Fiscal Year 2017 Update,” relies on data from the Securities Enforcement Empirical Database (SEED), a collaboration between the NYU Pollack Center for Law & Business and Cornerstone Research. According to the report, the three-year trend of increasing enforcement reversed sharply in the second half of FY 2017.
According to co-author David Marcus, while the declines “coincide with the change in SEC leadership,” it is “too early to tell if this [enforcement lull] is a trend under the new leadership, or just due to the transition period.” Below are several other key findings with regard to SEC enforcement activity in 2017:
While the new report is certainly good news for investment firms and other entities regulated by the SEC, it does not mean that SEC compliance should take a back seat. The SEC is not necessarily being less vigilant, but rather is shifting both resources and priorities under the new administration.
Do you have any questions? Would you like to discuss the matter further? If so, please contact me, Dan Brecher, at 201-806-3364.
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