Investor Deadline: Faruqi & Faruqi, LLP Investigating Claims

Securities and Exchange Commission (SEC) enforcement actions have hit a six-year low according to a report released by New York University’s Pollack Center for Law & Business and Cornerstone Research. The report found that in the fiscal year 2021, the SEC filed 405 enforcement actions, the lowest number since 2015.

This decline in enforcement actions can be attributed to several factors, including the impact of the COVID-19 pandemic, changes in leadership at the SEC, and shifts in regulatory priorities. The report also noted a decrease in the number of cases involving insider trading and public company disclosures.

Despite the overall decrease in enforcement actions, the report highlighted an increase in the number of actions related to securities offerings and investment advisory issues. This suggests that the SEC may be focusing on different areas of securities regulation.

Investors should be aware of these trends in SEC enforcement actions and stay informed about regulatory developments that may impact their investments. Keeping up to date with enforcement trends can help investors make informed decisions and protect their portfolios.

It is important for investors to conduct thorough due diligence before making any investment decisions and to seek advice from qualified financial professionals when necessary. By staying informed and proactive, investors can navigate the complex world of securities regulation with confidence.