SEC Announces Enforcement Results for Fiscal Year 2023

SEC Releases Fiscal Year 2022 SEC Enforcement Statistics: Trends ...

The total number of enforcement actions brought in FY22 represents a 9% increase in enforcement actions overall and a 6.5% increase in ...

SEC Enforcement Division Announces FY22 Results

Notably, the Report — which covered the fiscal year ending September 30, 2022 (FY 2022) — highlighted that the number of SEC enforcement actions ...

The SEC Aces Its Report Card: Enforcement Activity Maintains ...

The SEC imposed $4.95 billion in financial sanctions in 2023, the second highest amount in SEC history after last year's record numbers.

Securities Enforcement 2024 Mid-Year Update - Gibson Dunn

In the first half of 2024, the SEC won a significant insider trading litigation and continued to recover unprecedent penalties as part of its ...

SEC Touts Gains in Enforcement Actions in 2023 - Intelligize

The commission did call attention to what it termed “robust financial remedies against major companies” levied in 2023. They included combined ...

SEC Announces Enforcement Results for Fiscal Year 2023 - Joot

In 2022, the SEC filed 760 enforcement actions – a 9% increase from 2021. This year brought a total of 784 enforcement actions that amounted to ...

Enforcement of Federal Securities Laws Should Be Vigorous but Fair

Press Release, SEC, SEC Announces Enforcement Results for Fiscal Year 2023 (Nov. 14, 2023), https://www.sec.gov/news/press-release/2022-206 ...

Mid-Year Enforcement Update: SEC's Continued Focus on Private ...

As we reach the midpoint of 2024, the SEC has maintained its rigorous enforcement stance on the private funds industry, proposing new rules ...

SEC Enforcement Director Grewal Doubles Down on Encouraging ...

[2] Press Release, SEC Announces Enforcement Results for Fiscal Year 2023, Nov. 14, 2023, https://www.sec.gov/news/press-release/2023-234.

SEC Speaks 2024: In Defense of Enforcement's Aggressive Agenda

Deputy Enforcement Director Sanjay Wadhwa shared the Enforcement Division's fiscal year 2023 results, during which the SEC filed a total of 784 ...

SEC Enforcement Stats for FY 2023 | Foley & Lardner LLP

The SEC is out with its FY 2023 enforcement statistics. The total volume of enforcement was down from the prior year, but still very active.

SEC Whistleblower Program had a Record-Setting 2023 Fiscal Year

On November 14, the U.S. Securities and Exchange Commission (SEC) announced its enforcement results for the 2023 Fiscal Year.

SEC's Division of Enforcement Year-End Results Reflect Continuing ...

Overall, the total number of actions also increased slightly to 784. 1. Press Release, SEC Announces Enforcement Results for Fiscal Year 2023 ( ...

2023 Year-in-Review: Developments and Trends in White Collar ...

[10] Press Release, “SEC Announces Enforcement Results for Fiscal Year 2023” (November 14, 2023), available here. [11] Press Release, “SEC ...

SEC Accounting and Auditing Enforcement Activity—Year in Review

... SEC Accounting and Auditing Enforcement Activity—Year in Review: FY 2023. Endnotes. 1. “SEC Announces Enforcement Results for Fiscal Year 2023,” SEC Press ...

SEC Enforcements for Fiscal Year 2023

SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2023 ... The Securities and Exchange Commission (SEC) announced in its press ...

What do the SEC enforcement results tell us about compliance trends?

“In fiscal year 2023, the SEC consistently rewarded meaningful cooperation to efficiently promote compliance across the securities industry.

CFTC Releases FY 2023 Enforcement Results

In FY 2023, the CFTC's Division of Enforcement (DOE) filed 96 enforcement actions charging fraud, manipulation, and other significant violations ...

SEC FY 2023 Enforcement Results in Nearly $5 Billion in Remedies

The Securities and Exchange Commission (SEC) in fiscal year 2023 ... Overall, the SEC announced that it filed 784 total enforcement actions in FY ...

2023 SEC Enforcement Results – Takeaways for Fund Managers

On November 14, 2023, the SEC's Division of Enforcement announced its Enforcement Results for Fiscal Year 2023. Below are some key takeaways ...