enforcement actions

SEC Enforcement Activity Drops 15% in 2021
Risk & Compliance

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.
By Matthew Heller | November 17, 2021
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SEC Fines From Enforcement Hit Record $4.68B
Risk & Compliance

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.
By Matthew Heller | November 3, 2020
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Whistleblower Tips to SEC Top 5,200 in FY 2019
Risk & Compliance

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."
By Matthew Heller | November 19, 2019
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SEC Fines, Disgorgement Hit $3.9B in 2018
Risk & Compliance

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."
By Matthew Heller | November 5, 2018
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SEC Wants the Power to Limit the Size of Whistleblower Awards
Risk Management

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.
By William Sprouse | July 2, 2018
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SEC Keeps up High Rate of Enforcement Activity
Risk & Compliance

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.
By Matthew Heller | April 21, 2017
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SEC Hit Record Enforcement Highs in 2016
Risk & Compliance

SEC Hit Record Enforcement Highs in 2016

The SEC broke records for single-year enforcement actions filed and total dollars gained from forfeitures.
By Sean Allocca | October 13, 2016
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SEC Filed More Than 800 Cases in 2015
Risk & Compliance

SEC Filed More Than 800 Cases in 2015

Enforcement actions in the financial reporting and audit area have nearly doubled, to 134, in the past two years, reflecting the SEC's increased focus.
By Matthew Heller | October 26, 2015
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