With the transition to a new Commission, the SEC should take the opportunity to review, evaluate and improve its enforcement program. In light of the SEC’s mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation, the SEC should take steps to ensure it is allocating resources properly, striking an appropriate balance between regulation and enforcement, and protecting the rights of investors and industry participants. Below is a brief, ten-point summary of suggestions for improving the SEC’s enforcement program.
‘Enforcement 40’ for 2020
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