Securities,
Government,
Corporate
Jan. 14, 2020
What does the SEC have in store for 2020?
A number of factors — such as market trends, SEC initiatives, rule changes, and significant court cases — can push the SEC’s Enforcement Division in one direction or another. Here, we look at a number of subjects that are likely to arise in 2020 Enforcement actions due to events 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.
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.
For the most part, the Securities and Exchange Commission’s Enforcement agenda does not change radically from year to year. And indeed, according to the SEC’s most recent statistics, with some limited variation 2019 looked a lot like 2018 in terms of the total number of standalone cases brought (525 versus 490), the number of investment adviser cases (191 versus 108), issuer reporting and audit cases (92 versus 79), insider trading cases (30 versus 51), and FCPA cases...
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