Behind the Annual SEC Enforcement Report: 2017 and Beyond

13 Pages Posted: 27 Nov 2017  

Urska Velikonja

Georgetown University Law Center

Date Written: November 19, 2017

Abstract

The SEC's enforcement report for fiscal year 2017 reports moderate declines in the number of filed enforcement actions, 754 compared with 868 in fiscal year 2016, and in the total monetary penalties ordered, $3.8 billion compared with $4.1 billion in fiscal 2016. The narrative accompanying the release suggests that despite the change in SEC leadership, nothing has really changed in enforcement.

This review looks behind reported numbers. By comparing enforcement with prior years, and during the first and second half of the fiscal year 2017, the review reports on changes that have taken place, in particular in enforcement against Wall Street firms and public companies. In addition to offering data on settlements and fines, the review also offers statistics on where the SEC chooses to file cases - in court or in administrative proceedings - and recent data on admissions in enforcement actions.

Suggested Citation

Velikonja, Urska, Behind the Annual SEC Enforcement Report: 2017 and Beyond (November 19, 2017). Available at SSRN: https://ssrn.com/abstract=3074073 or http://dx.doi.org/10.2139/ssrn.3074073

Urska Velikonja (Contact Author)

Georgetown University Law Center ( email )

600 New Jersey Avenue, NW
Washington, DC 20001
United States

Register to save articles to
your library

Register

Paper statistics

Downloads
202
rank
139,888
Abstract Views
1,191
PlumX