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SEC announces results of enforcement activities for fiscal year 2015

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Oct 23, 2015

The SEC has announced the results of its enforcement activities for fiscal year 2015.

Specifically, the Commission indicated that it “filed 807 actions covering a wide range of misconduct, and obtained orders totaling approximately $4.2 billion in disgorgement and penalties.” Of these 807 enforcement actions, “a record 507 were independent actions for violations of the federal securities laws and 300 were either actions against issuers who were delinquent in making required filings with the SEC or administrative proceedings seeking bars against individuals based on criminal convictions, civil injunctions, or other orders.”

For more information, see the press release on the SEC’s Web site.

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