美国证券交易委员会公布2026财年执法成绩：348起执法行动，追缴与罚款合计10.95亿美元
美国证券交易委员会（SEC）11月10日公布截至9月30日的2026财年执法年度结果：全财年共提起348起执法行动，其中235起为独立执法行动、113起为后续行政程序；另针对涉及亚洲发行人的疑似操纵行为实施13次交易暂停。全财年独立执法行动中，三分之二至少起诉了一名个人。
金钱救济方面，法院与委员会命令的追缴与罚款合计10.95亿美元，其中包括7.52亿美元的非法所得追缴与判决前利息、3.43亿美元民事罚款，另有2.35亿美元追缴被认定已由另一宗非 SEC 案件的法院判决抵偿。SEC 同期向超过25万名受损投资者返还约7.31亿美元。
组织建设方面，SEC 执法司在2026财年组建零售欺诈工作组，专责庞氏骗局、发行欺诈、冒名人诈骗与市场操纵等侵害普通投资者的行为，已由此启动十余项新调查；新设财务报告与会计组，并成立超级智能（SI）与分析办公室，把数据分析直接嵌入调查流程。委员会还与商品期货交易委员会（CFTC）、食品药品监管局（FDA）签署合作备忘录，并自2017年以来首次大修《执法手册》。
SEC 主席 Paul S. Atkins 表示，执法计划的成效最终看它在多大程度上保护投资者、追究违法者责任并增强市场信心。执法司司长 David Woodcock 表示，该司的重点是严谨调查、追究有实质后果的违法行为，并为投资者取得有意义的结果。（来源：美国证券交易委员会）
SEC Announces Fiscal 2026 Enforcement Results: 348 Actions and $1.095 Billion in Monetary Relief
The U.S. Securities and Exchange Commission (SEC) on November 10 announced its enforcement results for fiscal year 2026, which ended September 30. The Commission filed 348 enforcement actions during the year, including 235 standalone actions and 113 follow-on administrative proceedings, and instituted 13 trading suspensions in response to suspected manipulation involving securities of Asia-based issuers. Two-thirds of all standalone actions included charges against at least one individual.
The Commission obtained orders for monetary relief totaling $1.095 billion, comprised of $752 million in disgorgement and prejudgment interest and $343 million in civil penalties, with $235 million of the disgorgement deemed satisfied by a court judgment in a separate non-SEC action. The SEC also returned approximately $731 million to more than 250,000 harmed investors during the year.
On the organizational side, the Division of Enforcement formed a Retail Fraud Working Group targeting Ponzi schemes, offering frauds, impersonation scams and market manipulation harming everyday investors, which has already generated more than a dozen new investigations; created a Financial Reporting and Accounting Unit; and launched an Office of Super Intelligence and Analytics to bring data-driven techniques directly into investigative workflows. The Commission also entered into memoranda of understanding with the Commodity Futures Trading Commission (CFTC) and the Food and Drug Administration (FDA), and made significant updates to its Enforcement Manual for the first time since 2017.
SEC Chairman Paul S. Atkins said the success of the enforcement program is ultimately measured by how effectively it protects investors, holds wrongdoers accountable, and strengthens confidence in the markets. David Woodcock, Director of the Division of Enforcement, said the Division focuses on rigorous investigations, consequential misconduct, and meaningful outcomes for investors. (Source: U.S. Securities and Exchange Commission)
来源：美国证券交易委员会
发布：GSM·美国（发布链接）
图片来源：图：美国证券交易委员会总部大楼。GSM 联邦核心固定图库。 / Image: U.S. Securities and Exchange Commission headquarters building. GSM federal core asset library.
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