Interactive: Explore the SEC's 405 Standalone Actions from FY 2020
Click a classification to view SEC enforcement actions from FY 2020.
Securities Offering
Source: U.S. Securities and Exchange Commission data
130 actions
Market Manipulation
22 actions
Investment Advisors / Investment Cos.
87 actions
Issuer Reporting /
Audit & Accounting
62 actions
Insider Trading
33 actions
Public Finance ("Muni")
12 actions
FCPA
10 actions
Other (NSROs, Transfer Agents, Misc.), 9 actions
Broker Dealer
40 actions
