In its 2019 Annual Report, the SEC Division of Enforcement highlighted efforts to protect retail investors and combat cyber threats.
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SEC Commissioner Hester M. Peirce defended her position that "the SEC is not an enforcement agency, but rather a regulatory agency that uses enforcement as one tool."
The United States Court of Appeals for the Sixth Circuit dismissed a challenge to the expansion of MSRB "pay-to-play" rules to municipal advisors.
Senator Elizabeth Warren urged President Obama to "immediately designate another SEC Commissioner as Chair of the agency."
Senate Banking Committee members questioned the CEO of Wells Fargo, and examined the regulatory response to the bank's opening of unauthorized accounts.