Tag: division_of_enforcement

• SEC Enforcement Director David Woodcock to Deliver 26th Annual A.A. Sommer Lecture

  10 Nov 2026 6:31 p.m.

  The Securities and Exchange Commission has posted remarks by David Woodcock, Director of the Division of Enforcement, delivered at the 26th Annual A.A. Sommer Lecture.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionDavid WoodcockDivision of EnforcementA.A. Sommer LectureSpeeches and StatementsFinancial regulation

• SEC Announces Enforcement Annual Results for Fiscal Year 2026

  10 Nov 2026 2:03 p.m.

  The SEC has released its enforcement results for fiscal year 2026, which ended September 30, saying its Division of Enforcement stayed focused on its core duty of protecting investors.

  BusinessPolitics and GovernmentLaw EnforcementFinancial MarketsLegalFederal Government Securities and Exchange CommissionDivision of Enforcementenforcement resultsfiscal year 2026investor protectionfinancial regulation

• SEC Enforcement Director David Woodcock to Speak at 12th Annual Government Enforcement Institute

  18 Sep 2026 10:41 a.m.

  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

• SEC Announces Departure of Principal Deputy Director Sam Waldon

  22 Jul 2026 11:31 a.m.

  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

• CFTC Division of Enforcement Issues New Cooperation Policy Advisory

  19 May 2026 4:20 p.m.

  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

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