Year: 2017

The SEC reiterated the new retail investor/cyber focus for its Enforcement Division while publishing the statistics for the Division’s work for the last fiscal year. The report attempts to put a group of statistics showing that overall fewer stand-alone enforcement …

SEC Enforcement: A New Approach – A Year in Statistics Read More »

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SEC Enforcement is shifting focus to consumers and cyber-security according to the Chairman. Whether that marks the end of “broken windows” and many of the programs the approach spawned is yet to be seen. Regardless, insider trading, long a staple …

Consultant, Long Time Friend Settle SEC Insider Trading Charges Read More »

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