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'Cop on the beat' SEC tops enforcement action record in FY'23

11/14/2023

The Securities and Exchange Commission—the industry's "cop on the beat," according to Chairman Gary Gensler—filed 784 enforcement actions in its September-ending fiscal year 2023, representing a 3% year-on-year increase. The number of original, or stand-alone, enforcement actions increased to 501, an 8% increase over FY'22, the SEC said. Despite those record ... Log in to view full article.

 


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