SEC Enforcement Busy in First 9 Months of ‘09

mary-schapiro230x200In her speech today entitled “The Road to Investor Confidence” at the SIFMA Annual Conference, SEC Chairman Mary Schapiro provided some interesting Enforcement-related statistics for January-September 2009.  The statistics indicate that the SEC has been quite busy this year as compared to the first nine months of 2008. Full details are available in this post on my Enforcement Action blog over at Compliance Week.