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Browse: Home / 2014 / September / 11 / Ceresney to apply ‘broken windows’ to SEC enforcement | New York Post

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

By Securities Docket on September 11, 2014, 9:25 am

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.

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

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Posted in SEC, Top | Tagged Broken Windows

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