Last week, the SEC released details about its FY 2015 enforcement results. For the year that ended September 30, 2015, the SEC filed a record-high 807 enforcement actions and obtained orders totaling approximately $4.2 billion in disgorgement and penalties. Of these 807 enforcement actions, a record 507 were “independent actions,” with the other 300 actions being either delinquent filing actions against issuers or administrative proceedings seeking bars against individuals.
