Interactive: Explore the SEC's 526 Standalone Actions from FY 2019
Click a classification to view SEC enforcement actions from FY 2019.
Source: U.S. Securities and Exchange Commission data
Investment Advisors / Investment Cos.
Issuer Reporting /
Audit & Accounting
Public Finance ("Muni")
Other (Exchanges, NSROs, Transfer Agents, Misc.), 5 actions