Market Manipulation. Search

Regulators in the library

Five regulators account for all 2,428 records here: the SEC, CFTC, ASIC, OSC and FCA. Each page lists the sources behind that regulator, the dates actually collected and what the source does not cover, so counts are not read as a ranking of how active each regulator is.

SEC

US Securities and Exchange Commission

1,860 records, 2004–2026

54% carry a recorded penalty. 100% checked.

Sources: SEC litigation releases; SEC administrative proceedings; SEC administrative law judge initial decisions; SEC older documents added individually.

CFTC

US Commodity Futures Trading Commission

338 records, 2013–2026

72% carry a recorded penalty. 100% checked.

Sources: CFTC enforcement press releases.

ASIC

Australian Securities and Investments Commission

113 records, 2014–2026

31% carry a recorded penalty. 100% checked.

Sources: ASIC media releases.

OSC

Ontario Securities Commission

69 records, 2013–2025

46% carry a recorded penalty. 100% checked.

Sources: Capital Markets Tribunal proceedings (Ontario).

FCA

UK Financial Conduct Authority

48 records, 2013–2026

65% carry a recorded penalty. 100% checked.

Sources: FCA final notices.

For the whole library, including the sources not collected and why, see coverage. For a comparison written up in prose, see five regulators compared.