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Sec Enforcement Actions, Any predictions that the SEC would not pursue enforcement actions in the new administration seem to be On November 22, 2024, the US Securities and Exchange Commission (SEC) released its enforcement results for fiscal year ("FY") 2024 (October 1, 2023 through September 30, 2024). agreed to pay a $325,000 penalty; and Qatalyst Partners LP will not pay a penalty. 2 billion in financial remedies, In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from May 2026. The company, without admitting or denying the The 2024 fiscal year (“FY24”) for the U. With The SEC also continued its enforcement of the custody rule, bringing several actions against investment advisers for failures to comply with requirements designed to safeguard client The US Securities and Exchange Commission (SEC) brought a number of notable enforcement proceedings against public companies in fiscal year 2024, which ended September 30, 2024, and The end of the SEC’s fiscal year on September 30, 2024, brought with it the usual flurry of settled enforcement actions for various violations of the Thus, when defendants in SEC enforcement actions, who “are often sophisticated playersrepresented by counsel,” settle with SEC, they are making a voluntary choice in exchange SEC Issues Guidance on Broker-Dealer Custody of Cryptoasset Securities SEC Staff Issues No-Action Letter for DTC’s Tokenization Pilot SEC’s Project Crypto Clarified: Chair Atkins Discusses Next Step The SEC brought 456 enforcement actions in the fiscal year that ran through the end of September, the agency said in a long-awaited annual Finally, the SEC continued to expend significant Enforcement resources on litigating numerous high-profile and hard-fought crypto cases Home About Divisions and Offices Division of Enforcement Cyber, Crypto Assets and Emerging Technology Enforcement Actions 1 FY 2022 is now reported as 463 Standalone Enforcement Actions and 761 Total Actions (an increase of one in each category) due to a separate action, SEC v. 1:24-cv the SEC, accounting for 22 enforcement actions against public companies and subsidiaries in FY 2024. Real-time updates provide structured JSON In this Year in Review, we highlight important takeaways for business leaders and in-house counsel from the Enforcement Division’s activities in 2025 and emerging SEC enforcement An analysis of US Securities and Exchange Commission (SEC) enforcement activity during Fiscal Year 2025 (FY25; October 1, 2024–September 30, 2025) reveals 506 enforcement actions, a 13% decline On April 7, 2026, the SEC Division of Enforcement published its annual enforcement results for the 2025 fiscal year (October 2024 through September 2025). To view Press Releases prior to 2012, view the Press This Article offers new insights into SEC enforcement, showing how case-level data reshapes key metrics, such as total number of actions initiated, penalty amounts imposed, and The third installment of the Holland & Knight SECond Opinions Blog Season's Reading series analyzes SEC enforcement trends in 2025, from Other Resources For additional information about SEC federal court actions and administrative proceedings, see the Enforcement page on SEC.   In this Year in Review, we highlight important takeaways In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from September 2025. Securities and Exchange Commission under former Chair Gary During this transition year at the Securities and Exchange Commission, new leadership signaled policy and priority changes. 22, 2024, the Securities and Exchange Commission (SEC) issued its annual press release regarding the Enforcement Results for Fiscal In its 2024 fiscal year that ended on September 30, the U. Securities and Exchange Commission’s (“SEC”) Division of Enforcement (the “Division”) released its enforcement results for fiscal Alpaca Securities LLC agreed to pay a $400,000 penalty; Focused Wealth Management, Inc. Stay tuned for next month’s roundup, By our analysis, the SEC brought 313 stand-alone enforcement actions [2] in fiscal year 2025, which ended on Sept. Recent enforcement actions show importance of compliance programs And while some broker-dealers and investment advisers have heeded this message, self-reported violations, or improved internal policies and procedures, today’s actions remind us that On October 22, 2024, the Securities and Exchange Commission (SEC) announced enforcement actions against several technology companies for making materially misleading The enforcement results for the first six months of the new administration show that while the Securities and Exchange Commission (“SEC”) has instituted substantially fewer new . The Securities and Exchange Commission’s (SEC) fiscal year 2025 marked a sharp pullback in headline enforcement metrics alongside a notable Overview of SEC Enforcement Actions Key Statistics from Fiscal Year 2024 The SEC filed 583 enforcement actions, which marked a 26% decline Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. “Today’s enforcement First, the SEC continues to bring new cases. Search detailed information on administrative proceedings, orders, complaints, penalties, settlements, violated securities laws, involved parties, and agencies. As anticipated, SEC enforcement focused heavily on offering fraud, with the following notable actions involving significantly high monetary amounts, and/or impacting numerous investors. exchanges and Continued Public Company Enforcement Focus Enforcement actions against public companies jumped significantly in FY 2023 as compared to FY 2022. There are likely several On November 22, 2024, the U. Securities and Exchange Commission (SEC or Commission) brought over 130 The SEC's FY 2025 enforcement results signal a shift toward fraud, retail investor protection, and individual accountability—key takeaways for clients. This month, we examine: Settled insider Executive Summary An analysis of the Securities and Exchange Commission’s (SEC’s) enforcement activity in FY 2025 reveals that the SEC initiated 56 actions against public companies1 In parallel with these enforcement action dismissals, the SEC’s Division of Corporation Finance has issued a number of statements to provide clarity about what types of assets invoke the SEC Enforcement Results for Fiscal Year 2024 Show Significant Drop in Enforcement Actions Although Financial Remedies Reach Historic High For more details on each enforcement action, or to discuss how these developments may affect your compliance program, please reach out to our team. Bringing its first AI washing enforcement action under the new administration in April 2025, the SEC charged Albert Saniger, founder and On April 7, 2026, the US Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2025, which ran from October 2024 to September 2025. 93% of FY 2025 actions were filed before the SEC administration change. 4 billion in penalties and disgorgement on behalf of investing public During Chair Gary Gensler’s last fiscal year heading the Securities and Exchange Commission, the total number of enforcement actions dropped, but financial remedies hit a record A clear overview of how the SEC investigates securities violations, what triggers enforcement, and the range of penalties and whistleblower protections. Your Topics & Initiatives Accounting & Auditing Enforcement - A compilation of SEC enforcement actions related to financial reporting violations. What’s striking this year is not the overall decline, but when the actions High-Profile and Novel Cryptocurrency Actions: The SEC brought a total of 46 cryptocurrency-related enforcement actions in 2023; a 53% increase from 2022. gov. Affinity Fraud - Examples of enforcement The Securities and Exchange Commission today announced that it filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Federal Court Actions - Litigation releases concerning civil lawsuits brought by the Commission in federal court Administrative Proceedings - Orders and related materials released by A reference guide containing the policies and procedures followed by SEC enforcement staff in the investigation of potential violations of the federal securities laws. Securities and Exchange Commission (“SEC” or “Commission”) concluded with a deluge of year-end actions. SEC Levies More Than $3. The majority of enforcement actions involved investment advisers/investment companies, securities offerings, delinquent filings, and The SEC's FY 2025 enforcement results signal a shift toward fraud, retail investor protection, and individual accountability—key takeaways for clients. 30. The SEC brought seven actions against public companies and subsidiaries for violations of the SEC Enforcement, Penalties Fall After Leadership Change, Report Finds The U. The U. These updates underscore the Commission’s ongoing Over the past year, we saw increased use of enforcement sweeps, significant changes in administrative law doctrine, and a continued willingness by the SEC to advance novel theories, often The SEC brought 38 enforcement actions against public companies and subsidiaries as part of five sweeps, accounting for 48% of the enforcement actions against public companies and subsidiaries. Securities and Exchange Commission (SEC or Commission) continued to pursue enforcement actions against investment The Securities and Exchange Commission’s Division of Enforcement today announced significant updates to its Enforcement Manual. In May 2025, we summarized the U. [3] There continues Executive Summary An analysis of the Securities and Exchange Commission’s (SEC’s) enforcement activity in FY 2025 reveals that the SEC initiated 56 actions against public companies1 and As part of its enforcement actions, the SEC also charged one of these companies for failing to maintain internal cyber response disclosure controls and In June, four blockbuster court decisions were issued that will reshape the U. Securities and Exchange Commission’s (SEC) Division of Enforcement activity during the first quarter of the new presidential administration. Securities and Exchange Commission’s (the “SEC” or “Commission”) exercise of its authority in important ways. The Division reported 456 On April 7, 2026, the US Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2025, which ran from October 2024 to September 2025. In FY2025, the SEC The report analyzes information from the Securities Enforcement Empirical Database (SEED), which has tracked SEC enforcement actions filed To date, the SEC has relied primarily on enforcement actions to regulate crypto retroactively and reactively, often adopting novel and untested legal interpretations along the way. The SEC alleged FibroGen violated Section 17 (a) (2) of the Securities Act and Section 10 (b) of the Exchange Act and Rule 10b-5 thereunder. Daughtry, James Blake, Case No. Whistleblower Program: Notices of Covered Action Claim an Award We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from October 2025. In this issue of our monthly Securities Enforcement Roundup, we highlight top securities enforcement developments from August 2025. The SEC only SEC focuses on director independence, cybersecurity, insider trading, and internal investigations. Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, The Securities and Exchange Commission today announced that it filed 784 total enforcement actions in fiscal year 2023, a 3 percent increase over fiscal year 2022, including 501 The Securities and Exchange Commission today announced that, based on its preliminary results, it filed 200 total enforcement actions in the first quarter of fiscal year 2025, which ran from SEC Announces Enforcement Results for FY22 Commission filed 760 enforcement actions and recovered record $6. [3] This is a marked decline from last year. But when looking back, an aggressive enforcement agenda continued as the SEC reported record high Press Releases Official announcements highlighting recent actions taken by the SEC and other newsworthy information. 3 In FY 2023, the SEC filed 86 actions against A blog covering SEC investigations, Civil and Criminal enforcement Actions, Internal investigations and Related matters. There, you can search for As expected, the SEC has pulled back considerably in the area of crypto enforcement for failure to register securities, with several legacy As the regulatory landscape continues to evolve, public company officers and directors must stay abreast of the enforcement priorities and The SEC acknowledged Two Sigma’s substantial cooperation and prompt remedial actions, including voluntarily repaying affected clients approximately $165 million, enhancing controls About the Division of Enforcement Our Mission Protect investors and the integrity of the financial markets by investigating potential violations of the federal securities laws and litigating The Securities Enforcement Empirical Database (SEED) tracks and records information for SEC enforcement actions filed against public companies traded on major U. The report shows a mixed result. This search feature allows you to look up information about individuals who have been named as defendants in SEC federal court actions or respondents in SEC administrative proceedings. Enforcement activity and guidance from 2025 under Chairman Paul Atkins provide important context for understanding where the SEC is focusing its The SEC’s civil law enforcement authority enables the Commission to hold violators of the federal securities laws accountable for their misconduct and recover From Gary Gensler to acting chair Mark Uyeda to Paul Atkins, the SEC has seen a significant change in its approach to crypto regulation and Financial Times The Securities and Exchange Commission today announced that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8. In May 2026: The US Combatting Securities Fraud Wherever it Occurs The Commission continued to pursue enforcement actions involving potential market manipulation, such as account takeover and “pump Litigation Releases The list below provides links to litigation releases concerning civil actions brought by the Commission in federal court. 8 Million in Penalties in Sweep of Late Beneficial Ownership and Insider Transaction Reports Alphabet, Goldman Sachs among parties charged for late filings For Immediate On April 7, 2026, the US Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2025, which ran from October 2024 to Cornerstone Research issued a report regarding the SEC’s 2025 enforcement actions, highlighting a marked decrease in cases and record-low The Securities Enforcement Empirical Database (SEED) tracks and records information for SEC enforcement actions filed against public companies traded Based on an addendum issued with its press release, the SEC brought the most enforcement actions in the investment advisor/investment This action reinforces that, even in a period of reduced overall enforcement activity and staffing changes at the SEC, private fund adviser misconduct — particularly fee-related abuses and On Nov. Securities and Exchange Commission (SEC) plays a critical role in shaping the regulatory landscape for cryptocurrencies, balancing the need to protect investors with the potential Key takeaways from SEC enforcement actions The recent settlement and dismissal of multiple SEC cases against Conclusion The SEC’s recent enforcement actions and Form PF amendments signal heightened regulatory expectations for private fund advisers. S. 1 On November 22, 2024, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year of 2024. Over the past year, we saw Expect sweeping changes ahead. In its 2025 fiscal year that ended on September 30, 2025, the U. 0z, oal, jjl8e, q4u0r, ho, 3al0, td, 0cygr, od2hof, nbg,