In a written statement, SEC Chairwomen Mary Joe White explains that data analytics has helped the regulator increase the number of enforcement actions that it initiated during the fiscal year.
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The Securities and Exchange Commission filed 868 enforcement actions, including 258 cases against advisors, for the fiscal year ended September 30. That's an all-time high. So reports Financial Planning.
In a written statement, SEC Chairwomen Mary Joe White explains that data analytics has helped the regulator increase the number of enforcement actions that it initiated during the fiscal year.