Division of Enforcement 2020 Annual Report - SEC.gov

I am pleased to share the Division of Enforcement’s annual report for Fiscal Year 2020. And what a year it was. Like everyone, the challenges we faced – and continue to face – were …

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Division Of Enforcement 2020 Annual Report - SEC.gov

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high. Similarly, the number and amount of whistleblower awards exceeded prior years – in fact, awards issued in 2020 accounted for roughly 37% of the total number of individuals awarded …

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FAQs about Division of Enforcement 2020 Annual Report - SEC.gov Coupon?

Who wrote the 2020 Division of enforcement annual report?

The U.S. Securities and Exchange Commission wrote the Division of Enforcement's 2020 annual report. ...

How many enforcement actions did the Commission bring in fiscal year 2020?

The Commission brought 715 enforcement actions in Fiscal Year 2020. 492 of these actions were brought after the instituting of mandatory telework in mid-March. ...

How many enforcement actions did the SEC take In fiscal year 2024?

The Securities and Exchange Commission today announced that it filed 583 total enforcement actions in fiscal year 2024 while obtaining orders for $8.2 billion in financial remedies, the highest amount in SEC history. The 583 enforcement actions represent a 26 percent decline in total enforcement actions compared to fiscal year 2023. ...

What actions did the SEC take in fiscal year 2020?

In Fiscal Year 2020, the SEC brought actions relating to broker-dealers (10%), insider trading (8%), and market manipulation (5%), as well as other areas such as Public Finance (3%) and FCPA (2%). The Commission instituted a proceeding as to a single issuer through deregistration and/or suspension orders. ...

How has the pace of investigations changed in fiscal year 2020?

In Fiscal Year 2020, we focused on shortening the amount of time it takes to complete investigations and recommend enforcement actions. Our actions have the greatest impact when filed as close in time to the conduct as possible. The pace of investigations has been accelerated. ...

What did the Securities Division do in fiscal year 2020?

In Fiscal Year 2020, the Securities Division investigated and recommended actions addressing conduct that spanned the securities markets. This included conduct involving financial fraud, insider trading, offering fraud, Foreign Corrupt Practices Act violations, misconduct by broker-dealers and investment advisers, and more. ...