Securities Regulation:

SEC Enforcement Efforts in 1978 and 1985

GGD-86-97FS: Published: Jul 16, 1986. Publicly Released: Aug 20, 1986.

Additional Materials:

Contact:

Office of Public Affairs
(202) 512-4800
youngc1@gao.gov

GAO gathered information on: (1) the Securities and Exchange Commission's (SEC) enforcement actions for two 6-month periods in 1978 and 1985; and (2) completed U.S. Attorney and state actions based on SEC enforcement efforts.

GAO noted that comparisons between the data for both time periods should be made with caution. GAO found that: (1) the data did not reflect the complexities of the enforcement actions; and (2) it was difficult to determine if differences in the types of actions in the 2 years caused differences in the effectiveness of such actions in deterring future violations.

Sep 29, 2017

Sep 12, 2017

Sep 7, 2017

Apr 19, 2017

Mar 29, 2017

Feb 24, 2017

Dec 29, 2016

Dec 15, 2016

Nov 15, 2016

Looking for more? Browse all our products here