The Securities and Exchange Commission filed 434 new enforcement actions in fiscal year 2021, representing a 7 percent increase over the prior year. Seventy percent of these new or "stand-alone" actions involved at least one individual defendant or respondent. The new actions spanned the entire securities waterfront, including against emerging threats in the crypto and SPAC spaces.The SEC’s whistleblower program was critical to these efforts and had a record-breaking year. Read details about the results.
Modified: April 6, 2023