Tag: division_of_enforcement
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SEC Enforcement Director David Woodcock to Speak at 12th Annual Government Enforcement Institute
The SEC has posted remarks by David Woodcock, Director of the Division of Enforcement, delivered before the 12th Annual Government Enforcement Institute, now available in the agency's speeches and statements.
BusinessLaw EnforcementPolitics and GovernmentFederal GovernmentLegalFinancial MarketsEconomy Securities and Exchange CommissionDavid WoodcockDivision of Enforcement12th Annual Government Enforcement InstituteSpeeches and StatementsWashington, DC
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SEC Announces Departure of Principal Deputy Director Sam Waldon
Sam Waldon, Principal Deputy Director of the SEC's Division of Enforcement, is set to depart on July 31, 2026, after over 14 years. His successor will be announced later.
Politics and GovernmentBusinessLaw EnforcementFederal GovernmentFinancial MarketsLegalEmployment and Labor Sam WaldonSECDivision of EnforcementDepartureFinancial RegulationGovernmentPersonnel Change
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CFTC Division of Enforcement Issues New Cooperation Policy Advisory
The CFTC's Division of Enforcement has released a new advisory, superseding prior policies, to clarify its approach to evaluating cooperation and self-reporting in enforcement matters. This updated guidance aims to standardize how entities engage with the Commission during investigations.
Politics and GovernmentLaw EnforcementBusinessFederal GovernmentLegalFinancial Markets CFTCDivision of EnforcementCooperation PolicyEnforcement MattersSelf-reportingFinancial RegulationGovernment Policy