SEC Releases Update On 2017 Enforcement Activities, Upcoming Priorities

Author:Kramer Levin Naftalis & Frankel LLP
Profession:Kramer Levin Naftalis & Frankel LLP

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...

To continue reading