Tag: access theory

The access or gatekeeper theory is a stable of SEC Enforcement. Tracing to the earliest days of the Division of Enforcement, the theory posits that market professionals have an obligation to help protect the markets and investors by properly carrying …

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A key focus of SEC enforcement has been the retail investor. To that end the Division formed a special unit to focus on cases tied to those investors. Numerous cases have been brought. That focus may also be at least …

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