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Browse: Home / 2018 / December / 17 / SEC Enforcement By the Numbers – SEC ACTIONS

SEC Enforcement By the Numbers – SEC ACTIONS

By Securities Docket on December 17, 2018, 10:15 am

The merits of the SEC Enforcement program cannot be assessed by numbers and statistics chronicling events like how many cases were filed or the total amount of dollars ordered in judgments. At least that is the claim frequently repeated by the agency and the Division of Enforcement. Yet various sources publish numbers about Division of Enforcement ranging from the newly minted Annual Report (started last fiscal year) of the Division to various consulting firms and universities. Many who practice in the area, or closely follow the agency, discuss metrics and numbers tied to the work of the Enforcement Division. The question thus becomes “What, if anything, do SEC Enforcement statistics tell us?”

via SEC Enforcement By the Numbers – SEC ACTIONS.

Posted in SEC, Top | Tagged Statistics

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