Enforcement Actions by Fiscal Year 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
The OCR text presents aggregate SEC enforcement statistics from 2005–2014 across categories like broker-dealer violations and FCPA cases, with no specific fraud allegations, accused parties, dollar amounts, or legal outcomes, only annual counts and category reclassifications.
The data shows annual counts of SEC enforcement actions from 2005 to 2014 across categories including broker-dealers, insider trading, investment advisers, issuer reporting, and FCPA violations. Notably, broker-dealer actions increased from 94 in 2005 to 166 in 2014, while FCPA was reclassified as a distinct category in FY 2011 after previously being included under issuer reporting. No individual defendants, fraudulent conduct, financial penalties, or case resolutions are identified—only statistical trends and methodological notes on category changes.
The OCR text provides a statistical summary of SEC enforcement actions from fiscal years 2005 to 2014, cataloging annual counts across categories such as broker-dealer violations, insider trading, investment advisers, issuer reporting, market manipulation, and FCPA. Broker-dealer enforcement actions rose steadily from 94 in 2005 to 166 in 2014, while FCPA cases were first tracked as a separate category in FY 2011 with 20 actions, having previously been subsumed under issuer reporting. The data also reveals fluctuations in other categories, such as issuer reporting declining from 219 in 2007 to 68 in 2011 after FCPA was removed, and total enforcement actions peaking at 755 in 2014. No specific individuals, companies, fraudulent schemes, dollar amounts, charges, or legal outcomes are mentioned. The document serves purely as an administrative record of enforcement volume and categorization changes, not as a source of legal allegations or case details. Reclassifications are explicitly noted, particularly the 2011 shift that moved FCPA out of issuer reporting to improve transparency. This dataset is useful for analyzing enforcement trends over time but contains no factual basis for alleging specific fraud or identifying responsible parties.
Extracted insights
- company co.
- company securities
- agency Securities and Exchange Commission
- unknown investment
- Sec Enforcement Actions
- Broker-Dealer Enforcement Actions
- Delinquent Filings n/a
- FCPA Actions n/a
- Insider Trading 50
- Investment Adviser/Investment Co.
- Issuer Reporting and
- Market Manipulation 46
- Securities Offering 60
- Other Enforcement Actions
- Total Enforcement Actions
Year-by-Year SEC Enforcement Statistics
Enforcement Actions by Fiscal Year 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Broker-Dealer 94 75 89 67 109 70 112 134 121 166
Delinquent Filings n/a 91 52 113 92 106 121 127 132 107
FCPA n/a n/a n/a n/a n/a n/a
* 20 15 5 7
Insider Trading 50 46 47 61 37 53 57 58 44 52
Investment Adviser/Investment Co. 97 87 79 87 76 113 146 147 140 130
Issuer Reporting and Disclosure 185 138 219 154 143 126 ** 89 79 68 99
Market Manipulation 46 27 36 53 39 34 35 46 50 63
Securities Offering 60 61 68 115 141 144 124 89 103 81
Other 98 49 65 21 27 35 31 39 13 50
Total Enforcement Actions 630 574 655 671 664 681 735 734 676 755
* Prior to FY 2011, FCPA was not a distinct category and FCPA actions were classified as Issuer Reporting and Disclosure.
** Prior to FY 2011, this category included FCPA actions, which are now tracked as a distinct category. Year-by-Year SEC Enforcement Statistics Enforcement Actions by Fiscal Year 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 Broker-Dealer 94 75 89 67 109 70 112 134 121 166 Delinquent Filings n/a 91 52 113 92 106 121 127 132 107 FCPA n/a n/a n/a n/a n/a n/a * 20 15 5 7 Insider Trading 50 46 47 61 37 53 57 58 44 52 Investment Adviser/Investment Co. 97 87 79 87 76 113 146 147 140 130 Issuer Reporting and Disclosure 185 138 219 154 143 126 ** 89 79 68 99 Market Manipulation 46 27 36 53 39 34 35 46 50 63 Securities Offering 60 61 68 115 141 144 124 89 103 81 Other 98 49 65 21 27 35 31 39 13 50 Total Enforcement Actions 630 574 655 671 664 681 735 734 676 755 * Prior to FY 2011, FCPA was not a distinct category and FCPA actions were classified as Issuer Reporting and Disclosure. ** Prior to FY 2011, this category included FCPA actions, which are now tracked as a distinct category.