In the Margins

SEC: 800+ enforcement actions in FY'15

October 22, 2015

By The Securities and Exchange Commission

In September-ending fiscal year 2015, the Securities and Exchange Commission filed 807 enforcement actions covering a wide range of misconduct, and obtained orders totaling approximately $4.2 billion in disgorgement and penalties. Of the 807 enforcement actions filed in fiscal year 2015, a record 507 were independent actions for violations of the federal securities laws and 300 were either actions against issuers who were delinquent in making required filings with the SEC or administrative proceedings seeking bars against individuals based on criminal convictions, civil injunctions, or other orders. Read the full release from the SEC