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SEC Enforcement Activity: Public Companies and Subsidiaries

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Cornerstone Research collaborates with the Securities Enforcement Empirical Database (SEED) to publish annual publications analyzing trends in SEC enforcement actions against public companies traded on major U.S. exchanges and their subsidiaries.

Created by the NYU Pollack Center for Law & Business in cooperation with Cornerstone Research, SEED tracks and records information on SEC enforcement actions filed against public companies and their subsidiaries. SEED facilitates analysis by presenting verified data in an easily searchable format using several variables, including defendant names and types, violations, judicial venues, and resolutions.

Fiscal Year 2022 Update

SEC Enforcement Activity

The SEC filed 68 enforcement actions against public companies and subsidiaries in FY 2022, the first full fiscal year of Chair Gary Gensler’s tenure.

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Fiscal Year 2021 Update

SEC Enforcement Activity

The SEC filed fewer enforcement actions against public companies and subsidiaries in fiscal year 2021, the lowest total in seven years.

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Fiscal Year 2020 Update

SEC Enforcement Activity

The SEC filed 61 actions against public companies and subsidiary defendants in FY 2020, a decrease from the highs observed during recent fiscal years and the lower total since FY 2014.

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Securities Enforcement Empirical Database (SEED)

SEED tracks and records information for SEC enforcement actions filed against public companies and their subsidiaries. SEED also includes information for individuals who are named defendants in these actions. Created by the NYU Pollack Center for Law & Business in collaboration with Cornerstone Research, SEED facilitates the analysis and reporting of SEC enforcement actions through regular updates of new filings and settlement information for ongoing enforcement actions.

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  • 12+

    Years of data

  • 800+

    SEC enforcement actions

  • 600+

    Named public companies and subsidiaries

Authors

Stephen Choi

Bernard Petrie Professor of Law and Business,
School of Law;
Director, Pollack Center for Law & Business;
New York University

  • Chicago

Sara E. Gilley

Vice President

  • Boston

Heather B. Lazur

Principal

  • Chicago

Lindsay Schick

Principal

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