Tag: Enforcement

The SEC published its statistics for the last fiscal year in a glossy report centered on a discussion of the new retail/cyber focus of the Enforcement Division. Statistics are not the sole measure of success the agency stated. Select statistics …

SEC Enforcement: Another Look At Last Fiscal Year Read More »

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It is axiomatic that markets hate uncertainty. So apparently do market regulators. A report on SEC enforcement activity shows a significant decrease in the number of enforcement actions brought in the first half of fiscal 2017. The Report is a …

SEC Enforcement Activity Declines In an Era of Uncertainty Read More »

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