The SEC's Enforcement Division published a report highlighting its enforcement activities so far in 2017 and detailing its priorities for the coming year. Division co-directors Stephanie Avakian and Steven Peikin listed five core principles that will guide their enforcement decision-making: focus on the Main Street investor; focus on individual accountability; keep pace with technological change; impose sanctions that most effectively further enforcement goals; and constantly assess the allocation of resources. So far in 2017, the regulator has initiated 754 enforcement actions, including 446 standalone...
SEC Releases Update On 2017 Enforcement Activities, Upcoming Priorities
|Author:||Kramer Levin Naftalis & Frankel LLP|
|Profession:||Kramer Levin Naftalis & Frankel LLP|
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