First half of FY 2017 sees increase, as SEC continues to file vast majority of its actions as administrative proceedings rather than civil actions.
April 24, 2017 at 06:34 PM
1 minute read
Enforcement actions levied against brokers by the Securities and Exchange Commission jumped 20% in the first half of 2017’s fiscal year, according to Cornerstone Research.
Actions related to issuer reporting and disclosure jumped 34% while actions involving securities offerings also increased by the same percent, according to Cornerstone’s proprietary research, SEC Enforcement Activity—First Half FY 2017 Update.
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