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Securities Enforcement: 2016 Mid-Year Review

07/04/2016

The Securities and Exchange Commission (SEC or Commission) brought over 400 enforcement actions in the first half of fiscal year (FY) 2016, and is on pace to surpass its record of 807 enforcement actions in a single fiscal year, set in FY 2015.

Read the whole document below.

Category: Regulatory Enforcement Matters

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Securities Enforcement: 2016 Mid-Year Review