SEC Enforcement Actions & Trends
Understanding SEC enforcement priorities and trends helps your firm identify risk areas and strengthen compliance programs before violations occur.
Enforcement Actions by Year
Total standalone SEC enforcement actions filed in each fiscal year.
Common Enforcement Categories
The types of conduct the SEC most frequently pursues in enforcement actions.
2025 SEC Enforcement Priorities
Key enforcement focus areas the SEC has identified for the coming year.
Crypto & Digital Asset Fraud
Targeting unregistered offerings, fraudulent crypto trading platforms, and advisor misconduct involving digital assets.
Gatekeeper Accountability
Holding accountable auditors, fund administrators, compliance officers, and other gatekeepers who enable securities violations.
Off-Channel Communications
Continued enforcement against firms and individuals who conduct business communications through unapproved channels.
AI & Emerging Technology Risks
Scrutinizing firms that make misleading claims about AI capabilities or fail to disclose AI-related risks to investors.
Conflicts of Interest
Pursuing undisclosed conflicts, particularly around compensation arrangements, revenue sharing, and affiliated transactions.
Whistleblower Retaliation
Enforcement against firms that retaliate against employees who report potential securities violations to the SEC.
Reduce your enforcement risk
Compliance Approved identifies compliance gaps before regulators do.