Jan 2015

Securities Enforcement 2014 Year-End Review

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Fiscal year 2014 proved to be another eventful and record-breaking year for the Division of Enforcement (Enforcement Division) of the United States Securities and Exchange Commission (SEC or the Commission). Indeed, the Commission recently described the fiscal year that ended in September (i.e., FY2014) as a “very strong year” for enforcement, and by certain measures it certainly was. This description of the SEC’s performance and approach, however, is not without controversy as various aspects of the SEC’s enforcement approach have been criticized in some quarters, including by certain of the SEC’s own commissioners.

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