{"id":14022,"date":"2023-12-27T08:02:10","date_gmt":"2023-12-27T08:02:10","guid":{"rendered":"https:\/\/iqeq.com\/?p=14022"},"modified":"2023-12-27T08:02:39","modified_gmt":"2023-12-27T08:02:39","slug":"key-takeaways-from-the-secs-2023-enforcement-results","status":"publish","type":"post","link":"https:\/\/iqeq.com\/insights\/key-takeaways-from-the-secs-2023-enforcement-results\/","title":{"rendered":"Key takeaways from the SEC\u2019s 2023 enforcement results"},"content":{"rendered":"
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By Jennifer Dickinson, Senior Managing Director, U.S.<\/em><\/p>\n

On November 14, the U.S. Securities and Exchange Commission (SEC) <\/strong>released<\/strong><\/a> the enforcement results for its fiscal year 2023, which ended September 30. In this article, we\u2019ll take a look at some of the most noteworthy enforcement cases, highlighting what SEC-regulated firms can learn from these examples in order to stay compliant in 2024.<\/strong><\/p>\n

The headline numbers<\/h2>\n

In total throughout its 2023 fiscal year, the agency filed:<\/p>\n