SEC announces fiscal year 2023 enforcement results

This week, the SEC announced enforcement results for its fiscal year ending September 30, 2023. The SEC obtained orders for nearly $5 billion in financial remedies for the year, the second highest ever. Of the 784 enforcement actions filed, approximately 83% were against corporations and 17% were against individuals, collectively including a variety of market participants from large public companies and investment firms to gatekeepers and social media influencers.

The SEC’s actions spanned a range of topics including frauds against retail investors, abusive trading practices, misconduct related to crypto asset securities, misleading or omitted disclosures of cybersecurity risks and incidents, and ESG-related cases.
Expand Expand

Welcome to Viewpoint, the new platform that replaces Inform. Once you have viewed this piece of content, to ensure you can access the content most relevant to you, please confirm your territory.

signin option menu option suggested option contentmouse option displaycontent option contentpage option relatedlink option prevandafter option trending option searchicon option search option feedback option end slide