SEC Enforcement has been focused on the Main Street investor for years. The results of that focus, which includes elder fraud, has been increasing numbers of offering fraud cases and actions which involve investment advisers. The Department of Justice also …
Tag: SEC
The Access Theory: A Key Enforcement Approach
The access or gatekeeper theory of enforcement traces to the early days of the Division of Enforcement, launched in 1972. The idea was to leverage the scarce resources of the Division and the agency to create a more effective enforcement …
