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Regulatory Enforcement and Guidance

Here you’ll find articles and other resources analyzing recent enforcement actions by the SEC on issues ranging from auditor independence violations to failure to comply with SEC reporting obligations. We also address significant enforcement actions by the Federal Communications Commission (FCC) and other regulatory agencies. In addition, we discuss recent regulatory guidance issued by the SEC, the Department of Justice (DOJ), and other regulatory agencies, and explain how that guidance may affect your public company practice.