Sign Up
Stories
SEC Imposes $5 Billion in Penalties, Targets Wall Street Firms
Share
CFTC's Flexibility and Penalty Proposals
Financial Firms' Communication Dilemma
2024 Regulatory Challenges for Investmen...
Bank Faces $6.2 Million Fine for Mislead...
Banking Sector Adapts Strategy
Overview
API
SEC imposes $5 billion in penalties in fiscal 2023, with a focus on enforcement actions and industry bars. The SEC has been actively targeting companies for various violations, including those related to employment agreement clauses and off-channel communication platforms. Wall Street firms have also agreed to pay fines for breaking rules on monitoring and saving business communications on unmonitored channels.
Ask a question
How does the SEC's enforcement program compare to previous years?
What are some of the specific violations that companies were penalized for?
What are the potential implications of the SEC's crackdown on recordkeeping lapses?
Article Frequency
0.2
0.4
0.6
0.8
1.0
May 2023
Jul 2023
Sep 2023
Nov 2023
Coverage