Tag: broken windows

As the new year begins SEC Enforcement appears to be at a cross-roads. Commissioners have, or will, depart; there are, or will be, new appointees. The reconstituted agency will have to determine if its current numbers-monetary-sanctions-publicity driven approach is actually …

A New Direction For SEC Enforcement in 2016? Read More »

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The “broken windows” approach to enforcement is alive, well and continuing. This time the Commission bundled together three groups of actions and eight proceedings, all centered on a failure to update disclosures tied to going private transactions: In the Matter …

Broken Windows Continues: SEC Brings Group of Actions Centered on Section 13(d)(2) Violations Read More »

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