美国证券交易委员会年度报告2018（英文版）

依思恋雨

美国证券交易委员会年度报告2018（英文版）
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CONTENTS
Message from the Co-Directors ........................................................................................ 1
Introduction ............................................................................. 6
Initiatives ........................................................................................... 6
Focus on the Main Street Investor ...................................................................... 6
Policing Cyber-Related Misconduct.................................................................7
The Share Class Selection Disclosure Initiative ...............................................8
Discussion and Analysis of Fiscal Year 2018 ..........................9
Overall Results ......................................................................................................9
Types of Cases..........................................................................................10
Distributions to Harmed Investors ....................................................................11
Disgorgement and Penalties Ordered .........................................................11
Individual Accountability ................................................................................................ 12
Relief Obtained .............................................................................................. 12
Litigation ......................................................................................................................... 14
Allocation of Resources ................................................................................................ 14
Noteworthy Enforcement Actions .......................................................... 15
Appendix ...................................................................................19
Endnotes..............................................................38