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Browse: Home / Annual Reports

Annual Reports

Guest Column -- Snapshot of a Cleaner Street:  Another Landmark Year for Securities Enforcement

Guest Column — Snapshot of a Cleaner Street: Another Landmark Year for Securities Enforcement

By Securities Docket on November 13, 2019, 11:57 am

Guest columnist Jordan Thomas breaks down the recently-released 2019 Annual Report of the SEC’s Division of Enforcement.

Posted in SEC, Top | Tagged Annual Reports, Guest Columns

Third of SEC Enforcement Actions in FY ’19 Involved Advisors | ThinkAdvisor

By Securities Docket on November 7, 2019, 8:59 am

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 […]

Posted in SEC, Top | Tagged Annual Reports

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