Regulators in the library

Seven regulators account for all 3,272 records here: SEC, CFTC, ASIC, OSC, FCA, AMF (France) and SEBI (India). 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

1,844 records, 2004–2026

55% 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

334 records, 2013–2026

73% 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

68 records, 2013–2025

47% 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.

AMF (France)

Autorité des marchés financiers (France)

209 records, 2004–2026

90% carry a recorded penalty. 100% checked.

Sources: AMF France Commission des sanctions decisions.

SEBI (India)

Securities and Exchange Board of India

656 records, 2022–2026

70% carry a recorded penalty. 100% checked.

Sources: SEBI enforcement orders (WTM, settlement, adjudication, ED/CGM).

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