Securities Enforcement Forum West 2025
Jennifer Marietta-Westberg of Cornerstone Research will speak on a panel at this one-day conference hosted by Securities Docket.
SEC Accounting and Auditing Enforcement Activity Plummeted in Final Year of Gensler Administration
The SEC imposed the highest total dollar amount of monetary penalties since 2021.
SEC Accounting and Auditing Enforcement Activity—Year in Review: FY 2024
The SEC drastically reduced its accounting and auditing enforcement activity in FY 2024.
PCAOB’s Enforcement Past and Its Unknown Future
The speakers discussed PCAOB enforcement on the Financial Executives International (FEI) Weekly Podcast.
PCAOB Enforcement Activity in 2024 Reached Highest Level Since 2017 as Monetary Penalties Hit New Record for the Third Consecutive Year
Enforcement was higher under Biden administration than the previous administration.
Public Company Accounting Oversight Board (PCAOB) Enforcement Activity—2024 Year in Review
PCAOB enforcement activity in 2024 reached highest level since 2017 as monetary penalties hit new record for the third consecutive year.
SEC Cryptocurrency Enforcement
This report analyzes SEC enforcement actions since the agency brought its first cryptocurrency-related enforcement action in July 2013.
SEC Enforcement Actions Against Public Companies and Subsidiaries Drop by 12% in FY 2024; Actions Still Up Nearly 5% Compared to Historical Average
Off-channel communications continues as an enforcement priority, driving Broker Dealer allegations to 29% of FY 2024 actions.
SEC Enforcement Activity: Public Companies and Subsidiaries—Fiscal Year 2024 Update
The SEC initiated 80 enforcement actions against public companies and subsidiaries in fiscal year 2024.
SEC Enforcement Activity: Public Companies and Subsidiaries
Cornerstone Research collaborates with NYU to publish an annual publication analyzing trends in SEC enforcement actions against public companies and subsidiaries.
Public Company Accounting Oversight Board (PCAOB) Enforcement Activity—2023 Year in Review
The Public Company Accounting Oversight Board (PCAOB) expanded its enforcement activity to the highest level since 2017.
SEC Accounting and Auditing Enforcement Activity—Year in Review: FY 2023
The SEC expanded its accounting and auditing enforcement activity in fiscal year 2023, while monetary settlements dropped for the second consecutive year.
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