Late last week, the SEC issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30, 2014. The SEC emphasized that it filed a record 755 enforcement actions in FY 2014, and that these cases “included a number of first-ever cases, including actions involving the market access rule, the ‘pay-to-play’ rule for investment advisers, an emergency action to halt a municipal bond offering, and an action for whistleblower retaliation.”
