Published on Jan 21st, 2025 |

Record Number of SEC Enforcement Actions | Q1 of FY 2025

SEC Releases

Introduction

The SEC recently announced the results of their Enforcement Actions for the first quarter of their 2025 fiscal year. The number of Enforcement Actions is at its highest for the first quarter since at least 2000.

While there is plenty of speculation across the industry as to the effects of regime change in Washington, the Division of Enforcement has shown no signs of slowing down.

Busy First Quarter of Enforcement Actions

Busy First Quarter of Enforcement Actions

Vigilant's Conclusion

Vigilant’s Conclusion

While the expectation is that the new administration will create a much less turbulent regulatory environment across all industries, it is important that Firms consider the data when attempting to predict the future actions of the SEC.

While the dollar amount of charges has increased significantly under the Biden administration, along with an onslaught of new Rules. However, the overall number of total enforcement actions were higher from 2016-2020 compared 2020-2024.

As your Firm assesses its Compliance Program in 2025, whether that be needing a Mock Exam if it has been some time since your last SEC Examination or On-Going Compliance Services, Vigilant is here to help provide you with proactive, customized and hands on support in your specific areas of need.

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