November 18th 2011: SEC Enforcement


It has been announced by the SEC that they have filed 735 enforcement cases in the fiscal year. This has been the highest number of cases the SEC has enforced and comprises of involved transactions as well as insider trading by professionals in the industry.

SEC enforcement has changed drastically since its inception in the 70’s, in 09 and 10 the management structure was completely overhauled and the method of handling complaints and tip offs changed. SEC enforcement has meant prosecutions have occurred for guilty parties and due to a formal program being introduced, companies and individuals have been cooperative with SEC enforcement investigations.

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