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Paul Atkins voted against at least 10 enforcement actions punishing individuals and companies, including Citigroup and IBM, according to a Reuters review of Securities and Exchange Commission ...
In the following decades, it shied away from issuing major new rules except in cases where it was given a green light through legislation, relying more on individual enforcement actions and orders ...
The Enforcement Act of 1871 (second act) and the Civil Rights Act of 1875 are very similar to the original act as they all have the same goal, but revised the first act with the intention of being more effective. The Act of 1871 has more severe punishments with larger fines for disregarding the regulations, and the prison sentences vary in length.
A Wells notice is a letter that the U.S. Securities and Exchange Commission (SEC) sends to people or firms at the conclusion of an SEC investigation that states the SEC is planning to bring an enforcement action against them.
In FY 2011, the Enforcement Division filed 735 actions, an 8.6% increase over FY 2010 and more than any other year in SEC history. It also obtained $2.8 billion in penalties and disgorgement. [ 23 ] More significantly, the filed actions involve many highly complex markets, products and transactions, as well as charges against a significant ...
While individual inmates can be released from custody on the same day a pardon is granted, larger-scale clemency actions by a president can take more time to implement.
The court held that because PAGA actions are public enforcement actions, California public policy prohibits waiver of the right to bring a PAGA claim. [67] The court further held that the Federal Arbitration Act (FAA), which provides for judicial facilitation of private disputes through arbitration, did not preempt the rule against PAGA waivers ...
After a calamitous 2022 that included the implosion of FTX, enforcement actions by the Securities and Exchange Commission against crypto firms hit a record high in 2023, according to a new report ...