77% increase in SEC Enforcement Actions against RIA’s (Fiscal year 2019 vs. 2018 data)
In November 2019, the SEC released its Division of Enforcement 2019 annual report which highlights 862 enforcement actions pursued during this recent fiscal year. This report confirms continued focus on “retail investor protection” and no signs of change in the near future. In the SEC’s 2019 fiscal year, they filed 526 standalone enforcement actions, 210…
