What 2021 Enforcement Results Say About SEC's Agenda

By Daniel Michael, Andrew Hanson and Christopher Herlihy (November 29, 2021, 5:02 PM EST) -- In mid-November, the U.S. Securities and Exchange Commission's Division of Enforcement released its results for its 2021 fiscal year, which ran from October 2020 to September 2021. Unlike in previous years, the Enforcement Division issued a press release and an addendum with statistics, rather than a report, that summarize and assess the accomplishments during the fiscal year.

The press release highlights the Enforcement Division's efforts to enforce the securities laws through first-of-their-kind actions in new areas, such as decentralized finance, crowdfunding and alternative data.

In addition to the numerous commission orders and complaints finding or alleging harm to retail investors, the press...

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