For reprint rights or to purchase a copy of your Daily Journal photo, email jeremy@reprintpros.com for prices or call 949-702-5390.

To buy more copies, call 866-531-1492 or email subscribe@dailyjournal.com
This is the property of the Daily Journal Corporation and fully protected by copyright. It is made available only to Daily Journal subscribers for personal or collaborative purposes and may not be distributed, reproduced, modified, stored or transferred without written permission. Please click "Reprint" to order presentation-ready copies to distribute to clients or use in commercial marketing materials or for permission to post on a website. and copyright (showing year of publication) at the bottom.
Subscribe to the Daily Journal for access to Daily Appellate Reports, Verdicts, Judicial Profiles and more...

Securities,
Administrative/Regulatory

Jan. 29, 2019

Securities year in review

And looking ahead to securities regulation priorities in 2019.

Nicolas Morgan

Partner
Paul Hastings LLP

Phone: (213) 683-6181

Email: nicolasmorgan@paulhastings.com

Nicolas is a partner in the firm's Litigation Department. He served as senior trial counsel in the SEC's Los Angeles office.

See more...

Thomas A. Zaccaro

Senior Counsel
Hueston Hennigan LLP

Phone: (213) 788-4039

Email: tzaccaro@hueston.com

Boston College Law School

Thomas is a partner in the firm's Litigation Department. He served as regional trial counsel in the SEC's Los Angeles office.

See more...

Securities year in review
Jay Clayton, chairman of the Securities and Exchange Commission, on Capitol Hill in Washington, Feb. 6, 2018. Early in his tenure as chairman, Clayton announced as a priority the protection of the interests of Main Street or retail investors, and the Enforcement Division's cases reflect this priority. (New York Times News Service)

In 2018, the Securities and Exchange Commission's enforcement program, according to the two directors of the Division of Enforcement, was "a great success" based on the metrics that the Division feels should be used to measure its performance. The Division eschews quantitative performance metrics, such as the number of enforcement actions filed or penalties assessed. Even so, the quantity of cases filed in FY2018 rebounded from FY2017 and approached historic numbers. ...

To continue reading, please subscribe.
For only $95 a month (the price of 2 article purchases)
Receive unlimited article access and full access to our archives,
Daily Appellate Report, award winning columns, and our
Verdicts and Settlements.
Or
$795 for an entire year!

Or access this article for $45
(Purchase provides 7-day access to this article. Printing, posting or downloading is not allowed.)

Already a subscriber?

Enewsletter Sign-up

Related Content

Securities

Gabelli v. SEC

SEC’s fraud claim against portfolio manager for investment adviser is time barred because it was filed more than five years after allegedly illegal activity occurred.

Administrative Agencies

Kokesh v. SEC

Claims for disgorgement in SEC enforcement actions are subject to 28 U.S.C. Section 2462's five-year limitations period because disgorgement claims operate as penalty.

Securities

Digital Realty Trust, Inc. v. Somers

Per explicit statutory definition, employee does not gain Dodd-Frank whistleblower retaliation protections unless he reports suspicions of securities law violations to SEC.

Constitutional Law

Lucia v. SEC

SEC administrative law judges, wielding 'significant authority' and discretion, are 'Officers of the United States' subject to the appointment clause.



By using our website, you agree to our use of cookies in accordance with our cookie policy. You can learn more about how we use cookies by reviewing our Privacy Policy here.