There may be suspensions but very little actual en
Post# of 14350
There may be suspensions but very little actual enforcement actions with the SEC:
http://www.sec.gov/news/newsroom/images/enfstats.pdf
Enforcement Actions by Fiscal Year 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011
Broker-Dealer 82 137 140 94 75 89 67 109 70 112
Delinquent Filings n/a n/a n/a n/a 91 52 113 92 106 121
FCPA n/a n/a n/a n/a n/a n/a n/a n/a n/a * 20
Financial Fraud/Issuer Disclosure 163 199 179 185 138 219 154 143 126 ** 89
Insider Trading 59 50 42 50 46 47 61 37 53 57
Investment Adviser/Investment Co. 52 72 90 97 87 79 87 76 112 146
Market Manipulation 42 32 39 46 27 36 53 39 34 35
Securities Offering 119 109 99 60 61 68 115 141 144 124
Other 81 80 50 98 49 65 21 27 32 31
Total Enforcement Actions 598 679 639 630 574 655 671 664 677 735
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