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February 25, 2013

SEC Boosts Tally of Enforcement Successes With Routine Actions

The U.S. Securities and Exchange Commission has been trying for four years to convince investors and critics that it’s back on the beat.

As part of that effort, the agency has cited a record number of enforcement actions over the past two years — 734 in fiscal 2012 and 735 the year before — as evidence that an overhaul of its investigative forces has made the regulator smarter, faster and more effective.

“”The sustained high-level performance comes two years after the division underwent its most significant reorganization since it was established in the early 1970s,” the SEC said in a November statement when it released the tally. “The results in 2012 were aided by many of the reforms and innovations put in place in the past two years.”

However, an analysis of that data by Bloomberg shows that the SEC filed fewer new actions last year compared to 2009, the year before it reorganized. The agency didn’t surpass those levels in 2011 either.”


Read full Bloomberg article here

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