SEC Files Fewer Enforcement Actions in FY2026 Despite September Surge
The U.S. Securities and Exchange Commission (SEC) filed 308 enforcement actions during fiscal year 2026, marking a significant decline of 57% compared to the annual average from FY18–FY25. Although there was an uptick in activity toward the end of the year—with September alone accounting for 99 filings—the second-half numbers still lagged behind similar periods between FY18 and FY24. According to a Brattle analysis, insider trading-related allegations reached their highest proportion since FY18. The report also explores trends such as monthly filing patterns, types of respondents involved in cases, and the frequency of actions with parallel criminal indictments. Senior Associate Adrienna Huffman and Principal Jan Jindra provided insights into these findings and made predictions for SEC enforcement activity in fiscal year 2027.
Topics: insider trading regulatory trends SEC enforcement
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