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A Better Partnership


Nov 2012
November 19, 2012

SEC Closes Second Highest Year in Enforcement Actions

The SEC announced last week that it filed 734 enforcement actions in its fiscal year that ended Sept. 30, 2012, which was only one shy of last year’s record of 735. The SEC noted that it saw the most significant increases in cases involving highly complex products, transactions, and practices, including those related to the financial crisis, trading platforms and market structure, and insider trading by market professionals.

The SEC also filed 134 enforcement actions related to broker-dealers, which was a 19% increase over the previous year.

For more information about the SEC’s enforcement action in the past fiscal year, read the full release here.

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