--- title: Legal Risk Management Tips | Securities and Exchange Commission description: Securities and Exchange Commission | Expert tips from the team at Jacko Law Group, PC --- [![jlg-logo.jpg](https://resources.jackolg.com/hs-fs/hubfs/jlg-logo.jpg?width=588&height=85&name=jlg-logo.jpg "jlg-logo.jpg")](http://www.jackolg.com/) Securities & Corporate Counsel San Diego • Los Angeles • San Francisco Call619-298-2880 415-766-3599 - [Home](http://www.jackolg.com/) - [Firm Overview](http://www.jackolg.com/Firm-Overview.shtml) - [Professionals](http://www.jackolg.com/Professionals/) - [Practice Areas](http://www.jackolg.com/Practice-Areas/) - [Events](http://www.jackolg.com/Events.shtml) - [News Room](http://www.jackolg.com/News-Room.shtml) - [Blog](https://resources.jackolg.com) - [Contact](http://www.jackolg.com/Contact.shtml) - [Home](http://www.jackolg.com/) - [Firm Overview](http://www.jackolg.com/Firm-Overview.shtml) - [Professionals](http://www.jackolg.com/Professionals/) - [Practice Areas](http://www.jackolg.com/Practice-Areas/) - 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[Due Diligence](http://www.jackolg.com/Practice-Areas/Regulatory-Compliance-Legal-Services/Due-Diligence.shtml) - [Performance Advertising](http://www.jackolg.com/Practice-Areas/Regulatory-Compliance-Legal-Services/Performance-Advertising.shtml) - Securities Law Overview - [San Diego Area Securities Law](http://www.jackolg.com/Practice-Areas/Securities_PC/San-Diego-Area-Securities-Law.shtml) - [Los Angeles Area Securities Law](http://www.jackolg.com/Practice-Areas/Securities_PC/Los-Angeles-Area-Securities-Law.shtml) - [San Francisco Area Securities Law](http://www.jackolg.com/Practice-Areas/Securities_PC/San-Francisco-Area-Securities-Law.shtml) # Legal Risk Management Tips ## [2016 SEC Enforcement Cases: A Year in Review - Dec. 2016](https://resources.jackolg.com/news/2016-sec-enforcement-cases-a-year-in-review) Posted by [Robert Boeche](https://resources.jackolg.com/news/author/robert-boeche) on Dec 31, 2016 5:00:00 AM - [Tweet](https://twitter.com/share) [![](https://resources.jackolg.com/hubfs/Stock%20images/Man%20with%20megaphone%20giving%20an%20annoucement.jpeg)](https://resources.jackolg.com/news/2016-sec-enforcement-cases-a-year-in-review) As part of its “[Fiscal Year 2016 Agency Financial Report](https://www.sec.gov/about/secpar/secafr2016.pdf#mission)” released by the U.S. Securities and Exchange Commission (“SEC”) last month, the SEC discussed enforcement cases for its fiscal year of 2016 (which concluded on September 30th).  According to the Report, the SEC once again set a new record for the number of enforcement actions filed in a fiscal year, having filed a record 868 enforcement actions in 2016, representing an increase of about seven percent (7%) from the number of actions brought in 2015.  Of the 868 enforcement actions, a record 160 were cases involving investment advisers or investment companies.[\[1\]](https://resources.jackolg.com/news/tag/securities-and-exchange-commission#_ftn1) [Read More](https://resources.jackolg.com/news/2016-sec-enforcement-cases-a-year-in-review) 0 Comments [Click here to read/write comments](https://resources.jackolg.com/news/2016-sec-enforcement-cases-a-year-in-review#comments-listing) Topics: [Securities and Exchange Commission](https://resources.jackolg.com/news/topic/securities-and-exchange-commission), [SEC](https://resources.jackolg.com/news/topic/sec) [All posts](https://resources.jackolg.com/news/all) ### Recent Posts ### Posts by Topic - 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