SEC generates fewer enforcement actions, brings in record $3.4B in sanctions

The SEC also touted a high number of whistleblower tips as well as revealed its 2014 pipeline

As the Securities and Exchange Commission (SEC) moves away from a caseload dominated by wrongdoings that led to the financial crisis, the agency appears to be doing more with less.

For the fiscal year ending in September, the SEC levied enforcement actions totaling $3.4 billion in monetary sanctions ordered against wrongdoers. This tally comes as the starting of so-called early stage probes by the SEC reached its lowest levels in at least a decade, according to the latest figures released by the SEC.

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Erin E. Harrison

Erin E. Harrison is the Editor in Chief of InsideCounsel magazine. Harrison’s professional background includes extensive expertise in both print and online media, highlighted by...

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