Tag: Enforcement

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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SEC enforcement actions are supposed to halt violations, protect investors and the markets, act as a deterrent and prevent a future repetition of wrongful conduct. To facilitate those goals settlements typically incorporate common elements. For example, when settling a civil …

Is the SEC a Toothless Watch Dog? Read More »

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