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Enforcement results for FY 2026 released by SEC

Director Woodcock spoke at Fordham Law School this week, emphasizing that individual accountability can be a key means to deter misconduct.

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Julie DiMauro

Front view of the US Securities and Exchange Commission (SEC) headquarters in Washington, DC,
Photo: hapabapa/Getty Images
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Showing a regulator keenly focused on fraud, market manipulation, insider trading, failures and misconduct by gatekeepers, and violations that compromise the integrity of disclosures and financial reporting, the SEC has published its enforcement results for the fiscal year that concluded September 30.

And its enforcement division remains particularly intent on

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