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SEC Releases FY 2014 Enforcement Data

Last week, the SEC released data on enforcement actions for the fiscal year 2014 showing that the agency filed 755 enforcement actions and collected disgorgement and penalties of $4.16 billion. The number of actions filed represents a ten percent year-over-year increase, after a decline of nearly seven percent from FY2012 to FY 2013, while disgorgement and penalties increased twenty-two percent in FY 2014. The release also notes that the agency brought first of their kind cases in several areas including the market access rule, the “pay to play” rule, and a whistleblower retaliation action.

The SEC’s release on the data can be found here