Pollack Center for Law & Business

Research

One of the main goals of the Securities Enforcement Empirical Database (SEED) is to further research on SEC actions initiated against public companies traded on major U.S. exchanges and their subsidiaries. This page features research published by SEED in collaboration with Cornerstone Research, as well as original academic, industry, and NYU student research. Users may also visit the SEED Analysis page that highlights ongoing trends identified through SEED data.

SEED and Cornerstone Research Reports

SEC Enforcement Activity Against Public Companies and Subsidiaries: Midyear FY 2019 Update (May 15, 2019)

Past:

SEC Enforcement Activity Against Public Companies and Subsidiaries: FY 2018 Update (December 11, 2018)

SEC Enforcement Activity Against Public Companies and Subsidiaries: Midyear FY 2018 Update (May 15, 2018)

SEC Enforcement Activity Against Public Companies and Their Subsidiaries: FY 2017 Update (November 14, 2017)

SEC Enforcement Activity: Public Companies and Subsidiaries, Midyear FY 2017 Update (May 9, 2017)

SEC Enforcement Activity Against Public Companies and Their Subsidiaries: FY 2016 Update (November 15, 2016)

SEC Enforcement Activity Against Public Companies and Their Subsidiaries: Midyear FY 2016 Update (May 17,2016)

SEC Enforcement Activity Against Public Company Defendants: FY 2010-2015 Research Report (January 12, 2016)

Academic and Industry Research

Forthcoming

NYU Student Research

An Empirical Analysis of SEC Enforcement Actions in Light of the Dodd-Frank Whistleblower Program