SEC Enforcement Report - Issue 1 - 2014

January 22, 2014

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


  • Information regarding upcoming Cooley LLP Conference: SEC Enforcement - Assessing the Agency's Policies and Practices (Featuring Entrepreneur Mark Cuban)
  • Not your Grandparents' SEC: The Commission Adapts to Innovative Financial Concepts
  • SEC Enforcement by the Numbers
  • Recent SEC Initiatives and Ongoing Enforcement Trends
  • SEC Speaks
  • Polizzotto Settlement Underscores Benefits of Training on Regulation FD and Having a "Compliance Culture"
  • SEC Embraces Trials

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.