Law Blog Category: SEC Penalties Act

The Acting SEC Chair Has Trimmed Enforcement’s Subpoena Power

In early February 2017, acting SEC Chair Michael Piwowar revoked the subpoena authority from approximately 20 senior SEC enforcement staff. The change leaves the Director of the Division of Enforcement as the sole person with the authority to approve a formal order of investigation and issue subpoenas. Historically, the staff did not have subpoena power; Read the full article…

The Stronger Enforcement Of Civil Penalties Act; A Push For Higher SEC Penalties

September 22, 2015 in SEC, SEC Penalties Act, Uncategorized