Daily Archives: September 11, 2014, 4:20 pm

Ceresney to apply ‘broken windows’ to SEC enforcement | New York Post

Andrew Ceresney, the SEC’s head of enforcement, on Wednesday charged 34 people and companies a total of $2.6 million for generally low-level violations — like failing to timely file stock ownership forms. The actions are the latest in the agency’s “broken windows” approach to policing the markets — that is, enforcing even the most basic regulations in hopes of keeping…

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