SEC files 348 enforcement actions in fiscal year 2026, secures $1.1 billion in relief

The Securities and Exchange Commission (SEC) announced its enforcement results for fiscal year 2026, which ended on September 30, according to an SEC press release. The Division of Enforcement focused on protecting investors, holding wrongdoers accountable, and maintaining the integrity of U.S. capital markets.

In fiscal year 2026, the SEC filed a total of 348 enforcement actions. These included 235 standalone actions and 113 follow-on administrative proceedings aimed at barring or suspending individuals from securities market activities based on prior criminal convictions or injunctions.

The enforcement actions targeted serious violations such as fraud, market manipulation, insider trading, gatekeeper misconduct, and breaches of disclosure and financial reporting rules. Two-thirds of standalone actions involved charges against at least one individual, underscoring the SEC's commitment to deterrence and accountability.

The Commission also instituted 13 trading suspensions related to suspected manipulation involving securities of Asia-based issuers. Monetary relief orders totaled approximately $1.095 billion, including $752 million in disgorgement.

The SEC highlighted ongoing efforts to modernize its organization, processes, and technology, launching new initiatives in 2026 to enhance enforcement effectiveness in future years.