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Browse: Home / 2016 / December / 29 / Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers? — ThinkAdvisor

Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers? — ThinkAdvisor

By Securities Docket on December 29, 2016, 10:49 am

With SEC Chair Mary Jo White’s announcement that she will step down at the same time President Barack Obama leaves office in January, there has been much speculation about whether Chair White’s policy of pursuing minor, “broken windows” type violations will be turfed out.

via Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers? — ThinkAdvisor

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