Month: September 2013

The SEC’s Operation Broken Gate: Holding Gatekeepers Responsible

Operation Broken Gate is the SEC’s effort to hold gatekeepers accountable. In announcing the initiative, the agency filed three actions involving auditors. Two were settled while a third is in litigation. The action which will be set for hearing is

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Toward a New SEC Enforcement Doctrine

The SEC Chair outlines her vision of an effective enforcement policy

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