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Select SEC and Market Data for F/Y 2010

January 10, 2011

The Select SEC and Market Data for Fiscal Year 2010, that includes such chapters as "Enforcement Milestones," and "Ten Most Common Complaints During Fiscal 2010."  Overall, seems like good commuter reading.     [C-I Note:  Perhaps the SEC uses the word "Select" to indicate they might've excluded or excerpted certain data that didn't quite shine a good light on SEC staffers.  Or maybe, there's an explanation in the footnotes.]

The Index.

  • Enforcement Milestones 
  • Enforcement Action Summary by Primary Classification
  • Fiscal 2010 Enforcement Cases by Program Area
  • Investigations of Possible Violations of the Acts Administered by the Commission
  • Right to Financial Privacy
  • SEC Total Investor Contacts by Fiscal Year
  • Ten Most Common Complaints During Fiscal 2010
  • Unconsolidated Financial Information for Broker-Dealers
  • Unconsolidated Annual Revenues and Expenses for Broker-Dealers Doing a Public Business
  • Unconsolidated Balance Sheet for Broker-DealersDoing a Public Business
  • Unconsolidated Revenues and Expenses for Carrying/Clearing Broker-Dealers
  • Unconsolidated Balance Sheet for Carrying/Clearing Broker-Dealers
  • Transaction Activity in Equities, Options and Security Futures
  •     Table 1:  ENFORCEMENT MILESTONES.  In Fiscal 2010, federal prosecutors filed indictments, informations, or contempts in 139 SEC-related criminal cases.

    • Obtained disgorgement orders in SEC judicial and administrative proceedings totaling over $1.8 billion, and $1 billion in penalties.
    • Sought orders barring 71 defendants and respondents from serving as officers or directors of public companies.
    • Sought emergency relief - temporary restraining orders - in 37 actions;  sought asset freezes in 57 actions.
    • Filed 6 actions to enforce investigative subpoenas.
    • Halted trading in securities of 254 issuers about which there was inadequate public disclosure.

    If that whetted your appetite, continue reading at:   [2010 SEC and Market Data, January 2011]