Recent public remarks by Steven Peikin and Stephanie Avakian, Co-Directors of the Division of Enforcement of the U.S. Securities and Exchange Commission, suggest a potential shifting of enforcement priorities and emphasis.
In remarks during an October 26, 2017 panel at the Securities Enforcement Forum in Washington, D.C., Co-Director Peikin commented on the “broken windows” approach to securities enforcement advocated by former Commission Chair Mary Jo White.
