The SEC’s Division of Enforcement recently announced its Fiscal Year (FY) 2023 results, touting a record-setting year. Rather than repeat Enforcement’s detailed report available here, we boil the data down to give our readers a sense of the scale and magnitude of Enforcement’s efforts and outcomes between Oct. 1, 2022, and Sept. 30, 2023. And though Enforcement does not publicly report statistics relating to the investigations it closed without action, the actions it did file – and the themes the Report highlights – underscore that the agency is committed to using all the tools at its disposal to enforce the law, from offering and accounting fraud, insider trading and disclosure cases to pioneering forays into environmental, social and governance (ESG), cybersecurity and crypto enforcement.
Holland & Knight SECond Opinions Blog
Brandon Len King | Kayla Joyce | Jessica B. Magee | Scott Mascianica
Nov 21, 2023