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SEC Enforcement Report.pdf

enforcement-annual-report-2019.pdf
Preview of SEC Enforcement Report
🔗 Source: sec.gov
📊 Size: 1.67 MB
👤 Author: U.S. Securities and Exchange Commission
⬇️ Downloads: 146

Summary

The US Securities and Exchange Commission's Division of Enforcement annual report for Fiscal Year 2019 details its accomplishments, including bringing a broad mix of enforcement actions to combat wrongdoing and protect investors. Despite facing challenges, the Division achieved success, with notable initiatives such as the Share Class Selection Disclosure Initiative, which returned over $135 million to affected mutual fund investors. The report highlights the Division's focus on protecting retail investors, detecting and remedying misconduct by issuers and financial institutions, and holding individuals and corporations accountable. The Division's efforts resulted in the return of funds to harmed investors, improved disclosure, and enhanced confidence in the integrity and fairness of the markets.

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Description

The US Securities and Exchange Commission's Division of Enforcement annual report for Fiscal Year 2019 details its accomplishments, including bringing a broad...

Technical Information

  • File Format: PDF
  • File Size: 1.67 MB
  • Pages: 55
  • Language: EN
  • Author: U.S. Securities and Exchange Commission
  • Total Downloads: 146
  • Last Updated: 7 days ago

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