SEC Enforcement Report - Issue 2 - 2013

The Securities Litigation practice at Cooley LLP is pleased to release its latest issue of the SEC Enforcement Report. This quarterly publication provides news, enforcement trends, investigation features, and developments at the U.S. Securities and Exchange Commission (SEC). We hope you find this information useful. If you have any questions or feedback, please contact our editor Lyle Roberts.

View the SEC Enforcement Report


  • SEC Enforcement by the Numbers
  • Enjoining Lawful Conduct
  • Not All 10b5-1 Plans are Created Equal
  • Regulation FD Actions Update
  • SEC Keeps More Cases Closer to Home
  • Whistleblower Official Weighs in on "Waiver" Practice

Cooley's experienced securities litigators have a dedicated nationwide practice focused on the defense of both public corporations and individuals in class actions, derivative cases, mergers and acquisitions litigation, and SEC enforcement actions. The team also has extensive experience in conducting sensitive corporate internal investigations and advising clients of all sizes on securities regulatory issues and litigation risks.

Related Practices & Industries

Public Companies Securities Litigation