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Enhanced SEC Enforcement search now live on Securities Mosaic

December 11, 2019

This morning, we unveiled a new-look SEC Enforcement search page, which includes numerous upgrades and enhancements.  Customers have long asked for the ability to search on a specific statute or rule allegedly violated by a defendant, and with the newly redesigned tool, now they can do just that.  They can also search for enforcement actions overseen by a specific Administrative Law Judge, or search for specific document titles.  Additionally, we now aggregate all enforcement releases that are part of a common enforcement action, so you no longer have to wonder which documents associated with a given defendant are part of which case.

Use the enhanced SEC Enforcement search page for the following tasks, among others.

  • Perform due diligence on individuals or companies to see if they have been involved in any SEC enforcement actions
  • Benchmark trends in enforcement, including the assessment of penalties and other relief, for specific types of violations and scenarios
  • Use this information to counsel clients in the following ways:
    • Perform a risk assessment of a client’s contemplated action, to determine the likelihood and severity of potential enforcement
    • Advocate for clients who are already in trouble, knowing what enforcement remedies are standard for that violation based on existing precedent

Questions?  Contact our Research Support team at lsmsupport@lexisnexis.com or by calling us at 888-925-8627.

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