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News November 20, 2017 Issue

SEC Brought Fewer Enforcement Actions in 2017, But . . .

Advisers and their attorneys may take some solace from the SEC reporting that fiscal year 2017 saw the agency bring 754 enforcement actions, compared with 868 the year before, but it is far too soon and there are too many facts tied to individual cases to draw any conclusions. Nonetheless, the FY 2017 figures mark the first time the enforcement case total has declined for several years, having risen each year since at least FY 2013, when 676 enforcement actions were brought.

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