Securities Regulation:

SEC Enforcement Efforts in 1978 and 1985

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

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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.

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Apr 30, 2020

  • finance icon, source: Comstock

    Priority Open Recommendations:

    Department of the Treasury
    GAO-20-549PR: Published: Apr 23, 2020. Publicly Released: Apr 30, 2020.

Apr 27, 2020

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