In fiscal year 2024, the SEC brought recordkeeping cases imposing more than $600 million in civil penalties against more than 70 firms, including its first recordkeeping-violation cases against municipal advisors.
Sources
- SEC Announces Enforcement Results for Fiscal Year 2024 (sec.gov)
- https://www.clearygottlieb.com/news-and-insights/publication-listing/sec-fy-2024-enforcement-results (clearygottlieb.com)
- https://www.newsfilecorp.com/release/231120/SEC-Announces-Enforcement-Results-for-Fiscal-Year-2024 (newsfilecorp.com)
- https://corpgov.law.harvard.edu/2025/01/27/sec-enforcement-2024-year-in-review/ (corpgov.law.harvard.edu)
- https://www.bondbuyer.com/news/sec-more-than-doubles-muni-enforcement-filings-in-fy-2024 (bondbuyer.com)
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