Interactive: Explore the SEC's 526 Standalone Actions from FY 2019
Click a classification to view SEC enforcement actions from FY 2019.
Securities Offering
Source: U.S. Securities and Exchange Commission data
108 actions
Market Manipulation
30 actions
Investment Advisors / Investment Cos.
191 actions
Issuer Reporting /
Audit & Accounting
92 actions
Insider Trading
30 actions
Public Finance ("Muni")
14 actions
FCPA
18 actions
Other (Exchanges, NSROs, Transfer Agents, Misc.), 5 actions
Broker Dealer
38 actions
