SEC Enforcement Activity Drops 15% in 2021
The decline in actions against public companies and subsidiaries reflects the continuing impact of the pandemic and the change of leadership at the SEC.
SEC Fines From Enforcement Hit Record $4.68B
The number of new enforcement actions fell 17% this year but the SEC opened more than 150 COVID-related inquiries and investigations.
Whistleblower Tips to SEC Top 5,200 in FY 2019
“The whistleblower program continues to have a significant positive impact on the commission’s enforcement efforts and protection of investors and markets."
SEC Fines, Disgorgement Hit $3.9B in 2018
The agency "continues to be extremely successful in its efforts to deter bad conduct and effectively remedy harm to investors."
SEC Wants the Power to Limit the Size of Whistleblower Awards
Proposed amendments to the rules would give commissioners more discretion over the size of whistleblower awards; some say they could undercut the program.
SEC Keeps up High Rate of Enforcement Activity
Excluding actions against delinquent filers, the SEC filed 299 cases in the first half of fiscal 2017 — virtually unchanged from the year-ago period.
SEC Hit Record Enforcement Highs in 2016
The SEC broke records for single-year enforcement actions filed and total dollars gained from forfeitures.