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SEC · Regulatory Enforcement Intelligence

Securities and Exchange Commission

The SEC's Division of Enforcement polices U.S. securities markets — public-company disclosure, investment adviser and broker-dealer conduct, insider trading, and market manipulation — through standalone civil and administrative actions, follow-on proceedings, and delinquent-filer sweeps. Its fiscal year runs October 1 to September 30, and it publishes annual enforcement results each fall.

By Category and Fiscal Year
CategoryFY2019FY2020FY2021FY2022FY2023FY2024FY2025
Standalone Enforcement Actions●●●●●●●
Follow-On Administrative Proceedings●●●●●●●
Delinquent Filings Actions●●●●●●●
Broker-Dealer Violations●●●●●●●
Insider Trading●●●●●●●

● sourced dataset available · ○ dataset pending additional source verification · — not covered in this dataset

What Each Category Covers
Standalone Enforcement Actions

New civil and administrative enforcement actions the SEC filed as original matters, not derivative of another proceeding or another regulator’s action.

Follow-On Administrative Proceedings

Administrative proceedings seeking bars, suspensions, or other collateral relief based on a prior criminal conviction, civil judgment, or another regulator’s action.

Delinquent Filings Actions

Actions against public companies and individuals for failing to file required periodic reports — 10-Ks and 10-Qs — with the SEC.

Broker-Dealer Violations

Enforcement actions charging broker-dealers with sales-practice, supervisory, recordkeeping, or Regulation Best Interest violations.

Insider Trading

Enforcement actions charging individuals or entities with trading securities on the basis of material nonpublic information.

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