‘Enforcement 40’ for 2020
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By Securities Docket on December 9, 2015, 5:15 pm
The SEC party line is that it will defer to the good-faith determinations of the CCOs. Of course, CCOs are not granted immunity from enforcement actions. The SEC has put for the three categories for when CCOs are subject to actions by the SEC. via The State of CCO Enforcement Actions | Compliance Building