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SEC readies increased enforcement in 2022

On Behalf of | Jan 11, 2022 | Federal Securities Law |

The U.S. Securities and Exchange Commission might not come to mind first when people discuss law and regulatory enforcement. However, the SEC works hard to protect people from predatory and illegal tactics that less-than-honest financial professionals may perform. The SEC also tries to keep the well-connected from gaining an unfair advantage in the financial world. A Pennsylvania retiree takes chances when investing money, and it would be neither fair nor legal when a corporate executive gains wealth through inside trading. In 2022, the SEC intends to step up its enforcement capabilities and root out unfair practices.

An increased approach to enforcement actions

The SEC intends to do more than engage in a minor increase in enforcement action. Reportedly, the agency plans to bring more cases against public companies. The 2022 intentions for increased filings appear to be a response to a reduction in actions during 2021.

One area where the SEC will focus attention will be the realm of digital assets. Cryptocurrency buying and selling have grown exponentially, and worries exist about fraudulent activity. Expect the SEC to investigate more claims of illicit behavior. And that is only one area the SEC will examine more closely.

SEC activity in 2022

Expect special purpose acquisition company (SPAC) filings to receive more scrutiny, along with more investigations of insider trading activities. The SEC will further expand its role in corporate environmental issues, as well. Securities law encompasses many areas, as targets of investigations invariably discover.

Although it is not always apparent, the SEC continues to look out for the best interests of the investing public.


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