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SEC enforcement priorities for 2019

Jaclyn Jaeger | December 27, 2018

Despite budgetary constraints, an agency-wide hiring freeze, and a set of legal setbacks, the Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.

During fiscal year 2018, the SEC brought 821 enforcement actions (490 of which were standalone actions) and obtained judgments and orders totaling $3.9 billion in disgorgement and penalties. It also returned $794 million to harmed investors, suspended trading in the securities of 280 companies, and obtained nearly 550 bars and suspensions.

In its “Strategic Plan for 2018-2022,” the SEC outlined three goals that will guide its work moving forward. It also recently announced its enforcement priorities for fiscal year 2019. Both reports serve as helpful guideposts for regulated firms to assess the adequacy of their compliance programs. Those priorities are ...

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