Tag: gatekeepers

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 the SEC Enforcement Division under Chairman Jay Clayton is retail investors. The program’s new focus comes at a time when it faces new challenges. Virtual currencies, whether the new tulip bubble or the latest and greatest …

The New SEC Enforcement Program: Anchored In A Long Held Tradition Read More »

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