• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Ankura 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / 2014 / September / 12 / Why the SEC is all about ‘broken windows’ | Marketplace.org

Why the SEC is all about ‘broken windows’ | Marketplace.org

By Securities Docket on September 12, 2014, 7:36 am

The Securities and Exchange Commission announced Wednesday that it had charged 34 people and companies for failing to file timely disclosures about their dealings in company stock. Nearly all the cases settled for fines of up to $150,000.

While the SEC says these charges represent important violations on their own, they’re also part of a larger “broken windows” strategy of enforcement, modeled after a policing theory first coined in the 1980s. The idea is that if you clamp down on little infractions, you’re more likely to deter big-time crime.

via Why the SEC is all about ‘broken windows’ | Marketplace.org.

Blog Widget by LinkWithin

Posted in SEC, Top | Tagged Broken Windows

« Previous Next »

Subscribe

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2022 Securities Docket.

Powered by WordPress and Hybrid.