SEC enforcement

The agency's figures represent the most actions filed in their respective periods since at least 2000.

The resolution marks the end of a yearslong lawsuit.

Silver Point says it has done nothing wrong, and has retained prominent legal figures for its defense.

The Commission credits its work this year partially to the willingness of market participants to self report and cooperate with investigations.

The city faces no monetary penalty or monitorship in the final judgment in what those involved are calling an unprecedented move for SEC litigation.

The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.

The U.S. District Court for the Southern District of California entered a final judgment against Matthias O'Meara and Choice Advisors, fining them $312,572 and $187,337, respectively.

The commission charged the municipal advisors $1.3 million in penalties due to recordkeeping failures stemming from use of unmonitored communications, such as text messages, to conduct business.

The Supreme Court decision in SEC v. Jarkesy held that Congress can't force regulated entities to defend themselves in the SEC's in-house court, but likely won't change much for the Public Finance Abuse Unit.

The use of unregistered municipal advisors in the public-private partnership sector can lead to unnecessarily expensive deals for cities and states, said SEC's Dave Sanchez.