Tag: SEC

SEC Brings Another Pre-release ADR Action

The Commission and SEC Enforcement continue to focus on the question of pre-release ADRs and how those instruments are handled by banks and broker-dealers. To date the agency has brought seven cases involving a broker or a bank based on

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SEC Enforcement By the Numbers

The merits of the SEC Enforcement program cannot be assessed by numbers and statistics chronicling events like how many cases were filed or the total amount of dollars ordered in judgments. At least that is the claim frequently repeated by

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