![]() ![]() Some of the key statistics from FY 2011 are described below: Although senior Commission officials continue to caution that statistics alone do not tell the whole story, the measures traditionally used to assess the SEC's enforcement activity demonstrate that, in FY 2011, the Division of Enforcement vigorously pursued securities law violators. In its first complete fiscal year since the Division of Enforcement's extensive reorganization, the Commission filed 735 enforcement actions. ![]() The SEC brought a record number of enforcement actions in FY 2011. The full 2011 Year in Review, which includes summaries of approximately 80 cases, is available at. This LawFlash touches on key developments in the enforcement programs of the SEC and FINRA, the metrics used to measure enforcement activity, and the kinds of cases brought by regulators. ![]() Securities and Exchange Commission (the SEC or the Commission) and Financial Industry Regulatory Authority (FINRA) enforcement developments and cases regarding broker-dealers during 2011. The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting key U.S. In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010. ![]()
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