S&C Publishes “Securities Enforcement and Litigation Update,” November 2021

November 23, 2021

The new presidential administration and leadership at the SEC have had significant ramifications for SEC enforcement, including a focus on environmental, social, and governance issues, digital assets, and SPAC transactions. Several notable decisions affecting private securities litigation also came down in the first half of 2021, including on rebutting the Basic presumption, the extraterritorial reach of the 1934 Act, and standing to bring suit under the 1933 Act in connection with direct listings. The latest edition of S&C’s Securities Enforcement and Litigation Update reviews and analyzes these and other recent developments in SEC enforcement and private securities litigation, including numerical trends, areas of focus, significant court decisions and COVID-related developments. 

Please contact any of the lawyers in the Firm’s Securities Litigation Practice, Securities & Commodities Investigations & Enforcement Practice, or Criminal Defense & Investigations Group for further information, including programs for CLE credit.

S&C’s Securities Litigation Practice
S&C represents U.S. and non-U.S. corporations, financial institutions, and individuals in their most complex, high-value securities matters. Our lawyers have played a fundamental role in the evolution of U.S. banking and securities law, and the Firm is regularly ranked as one of the top firms for defending securities litigation.

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S&C’s Securities & Commodities Investigations & Enforcement Practice
S&C’s Securities & Commodities Investigations & Enforcement Practice lawyers have a deep understanding of markets and complex trading and financial products.  The Group regularly represents clients in investigations and enforcement actions by the SEC, the CFTC, FINRA, the National Futures Association and other federal, state, and non-U.S. regulators and self-regulatory organizations.  Clients facing securities and commodities investigations turn to S&C for our record of obtaining favorable outcomes in high-stakes matters.

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S&C’s Criminal Defense & Investigations Group (CDIG)
Sullivan & Cromwell’s Criminal Defense & Investigations Group (CDIG) is adept at resolving issues on the cutting edge of enforcement and regulatory activity. With more than a dozen former federal and state prosecutors, as well as other skilled lawyers, our team understands how government authorities pursue cases and anticipates shifts in enforcement priorities. We have played a leading role in virtually every major U.S. law enforcement initiative of the past 20 years, and our lawyers have handled more than 125 criminal trials in federal and state courts.
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