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Est. 2026The front page of wealth managementNew York

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Regulation

SEC Fines, Cases Plunge in Trump-Era ‘Return to Basics’

By Nicola M. White · WealthManagement.com ·

Image: WealthManagement.com

The SEC brought 348 enforcement actions in the fiscal year that ended Sept. 30,, down from 450 the year before.

Summary as published by WealthManagement.com
Financial ADVSRRead our full story: SEC case count falls sharply in fiscal 2026 →
Read the full story at WealthManagement.com →

Financial ADVSR links to reporting from across the industry. This story was reported by WealthManagement.com. Financial ADVSR is not affiliated with WealthManagement.com. Updated every 10 minutes.

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