Under the Biden Administration, the U.S. Securities and Exchange Commission is expected to be aggressive in bringing enforcement actions against alleged corporate wrongdoers. In fact, the stage is already set for a broad range of SEC enforcement activities in the corporate arena based on actions the SEC brought in 2020. A review of these recent SEC enforcement actions shows that the SEC has taken a broad and expansive approach in scope and subject matter, investigative techniques, and legal theories of its cases against public companies, even though the number of cases remained flat when compared to the previous year.

* Originally published in the Review of Securities & Commodities Regulation

Explore More Insight