SEC's Record-Setting Year: Behind The Stats

Law360, New York (December 13, 2011, 2:44 PM EST) -- With significant publicity, the U.S. Securities and Exchange Commission announced in November that it had filed the most enforcement actions in a single year in SEC history. For the fiscal year ending Sept. 30, 2011, the SEC stated it filed a record 735 enforcement actions, with more than $2.8 billion in penalties and disgorgement ordered.[1]

The SEC partially credited this performance to the Enforcement Division’s “strengthened” capacity resulting from significant recent reforms — reforms such as flattening the Enforcement Division management structure, revamping processes for handling...
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