The Changing Nature Of SEC Enforcement Actions

Law360, New York (October 8, 2013, 11:48 AM EDT) -- While the U.S. Securities and Exchange Commission’s fiscal year closed on Sept. 30, the agency typically does not report its annual statistics until November or December. However, trends from the first three quarters of the fiscal year provide a glimpse of what the market can expect for the full year — namely, a reduction in new enforcement actions.

Following a record number of enforcement actions reported by the SEC in fiscal years 2011 and 2012, the trend this year indicates a significant reduction in the number...
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