Daily Archives: January 26, 2022, 9:47 am

Takeaways from the SEC Division of Enforcement’s FY 2021 Report and Predictions for FY 2022 | Patterson Belknap Webb & Tyler LLP 

The report revealed mixed numerical trends.  Although the Division brought fewer total enforcement actions, it nevertheless collected a sizeable amount of money in penalties and generously rewarded whistleblowers.  In FY 2021, the Commission filed 434 new enforcement actions of 697 total enforcement actions.  New enforcement actions increased by 7% from FY 2020, but the total number of enforcement actions decreased…

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