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Browse: Home / 2014 / September / 30 / As SEC Enforcement Cases Rise, Big Actions Are Sparse – WSJ

As SEC Enforcement Cases Rise, Big Actions Are Sparse – WSJ

By Securities Docket on September 30, 2014, 8:00 am

Mary Jo White will end her first full fiscal year running the Securities and Exchange Commission able to claim an increase in its annual tally of cases, the first year-over-year rise since 2011, according to people close to the agency.

It is an important benchmark for the SEC chairman, a former federal prosecutor who promised “aggressive and creative” enforcement soon after taking office last year. But some SEC watchers said the heightened activity masks a scarcity of the blockbuster actions that should be a feature of an effective Wall Street cop.

via As SEC Enforcement Cases Rise, Big Actions Are Sparse – WSJ

Posted in SEC, Top | Tagged Fiscal Year, Reports

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