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 Wall Street from breaking the big ones.
‘Enforcement 40’ for 2020
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