SEC results show resolve to protect investors, hold bad actors accountable
Enforcement results for FY 2023 show SEC filed 784 enforcement actions and obtained orders for nearly $5 billion in financial remedies.
Premium article
The number of actions announced represent a 3% increase over fiscal year 2022, and include 501 original, or “stand-alone,” enforcement actions, an 8% increase over the prior fiscal year.
The SEC also filed 162 “follow-on” administrative proceedings seeking to bar or suspend individuals from certain functions in the securities markets