Continuing the Conversation - Highlights from FY20, Notable Actions, and Issues to watch in FY 2021

The SEC’s Division of Enforcement (Division) is reporting that it concluded its 2020 fiscal year on September 30,2020 with record-breaking numbers. Despite the challenges presented by the COVID-19 pandemic, the Division remained firm in its pursuit to protect investors and preserve market integrity. In April 2020, we discussed the Division’s efforts to enforce the federal securities laws with Eric Werner, the SEC’s Head of Enforcement in its Fort Worth Regional Office. Later in July, we provided an updated summary of our Coffee & Conversation with Mr. Werner to include recent events. With the agency’s fiscal year 2020 now in the books, the Division released its Annual Report earlier today.