The Securities Enforcement Empirical Database (SEED) tracks and records information for SEC enforcement actions filed against public companies traded on major U.S. exchanges and their subsidiaries.
Created by the NYU Pollack Center for Law & Business in cooperation with Cornerstone Research, SEED facilitates the analysis and reporting of SEC enforcement actions through regular updates of new filings and settlement information for ongoing enforcement actions. The variables tracked include defendant names and types, violations, venues, and resolutions.
“Our goal is to shed light on the SEC’s securities law enforcement decisions. SEED is the first public database to provide easily searchable and verified data to researchers, counsel, and corporations, as well as regular reports on developments and trends.”
Public Company-Related SEC Actions FY 2010-2017 (November 14, 2017)
This report may be viewed here. Key takeaways from FY 2017 include:
This project is a collaboration between these organizations:
Pollack Center for Law & Business
For press inquiries about NYU, please contact Michael Orey at Michael.Orey@nyu.edu.
For information about this site, including access for academic scholars, please contact firstname.lastname@example.org.
For press inquiries about Cornerstone Research, please contact Terri Viera at email@example.com.
For information about Cornerstone Research materials on this site, please contact firstname.lastname@example.org.
SEED Research Report
To view the recently released report on SEC Enforcement Activity Against Public Companies and Their Subsidiaries, please click here.