SEC ENFORCEMENT STATISTICS FOR FY 2021

A release on Mondo Visione on 18 November, detailed the SEC enforcement results for Fiscal Year 2021 (which ended in September).  It filed 434 new enforcement actions in fiscal year 2021, representing a 7% increase over the prior year.  70% percent of these new or “stand-alone” actions involved at least 1 individual defendant or respondent. The new actions spanned the entire securities waterfront, including against emerging threats in the crypto and SPAC spaces.  It filed 697 total enforcement actions in fiscal year 2021, including the 434 new actions. 

https://mondovisione.com/media-and-resources/news/sec-announces-enforcement-results-for-fy-2021-agency-brought-significant-actio/

https://www.sec.gov/files/2021-238-addendum.pdf

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Author: raytodd2017

Chartered Legal Executive and former senior manager with Isle of Man Customs and Excise, where I was (amongst other things) Sanctions Officer (for UN/EU sanctions), Export Licensing Officer and Manager of the Legal-Library & Collectorate Support Section View all posts by raytodd2017