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RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >> securities violations

Record number of SEC enforcement actions against advisors

Posted by RJ and Makay on Nov 11, 2011

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SECThe Securities and Exchange Commission (SEC) announced Wednesday that it had filed 146 enforcement actions against investment advisors and investment companies during the 2011 fiscal year, which ended September 30.  The record number of actions represents a 30% increase from the previous fiscal year, and a jump of nearly 200% since 2002.