The SEC has made clear that it welcomes the possibility of having more cases proceed to litigation and has the resources it needs to take hard cases to trial.1 The SEC has also added to its recently expanded arsenal of sanctions by requiring admissions of wrongdoing as a condition of settling certain enforcement actions.2
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A chapter written by Douglas Davison, Michael Mugmon and Chris Johnstone, published in the Practising Law Institute's SEC Compliance and Enforcement Answer Book 2015.
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