The Securities and Exchange Commission brought a diverse mix of 862 enforcement actions in fiscal year 2019, of which 526 were “standalone” actions of which the plurality, 36%, involved advisory and investment company issues.
The securities regulator’s enforcement division notes in its just-released annual report that it also obtained judgments and orders totaling more than $4.3 billion in disgorgement and penalties in fiscal 2019, a jump from the $3.9 billion ordered in 2018.
‘Enforcement 40’ for 2020
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