SEC Enforcement Activity: Public Companies and Subsidiaries

Published on: Nov 15, 2022

Published by: Cornerstone Research

SEC enforcement activity against public company and subsidiary defendants increased in FY 2022 to 68 actions. The first full fiscal year of Chair Gensler’s  tenure also saw total monetary settlements imposed by the SEC in public company and subsidiary actions climb to $2.8 billion. Monetary settlements were imposed on 97% of settling defendants. Both the total dollar amount and the percentage were the largest of any fiscal year in the Securities Enforcement Empirical Database (SEED).


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