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.

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