SEC Hits Record Number of Enforcement Actions in Fiscal 2014
21st October 2014
New investigative methods and innovative technology led to a banner year for SEC enforcement in 2014, with a record number of actions taken and fines levied, the agency reported Thursday. The SEC in fiscal 2014, which ended September 30, filed a record 755 enforcement actions and obtained orders totaling $4.16 billion in disgorgement and penalties, according to the SEC's preliminary figures. That compares with 686 actions and $3.4 billion in 2013, and 734 actions and $3.1 billion in 2012.
By: Ray Moss
In:
Corporate Finance & Securities