The number of total enforcement actions filed by the Securities and Exchange Commission (SEC) fell in fiscal year 2021 (FY2021), according to the agency’s annual enforcement report published Thursday.

Learn More
Already a member? Sign in to an existing account.

Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,...