‘Enforcement 40’ for 2020
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By Securities Docket on December 20, 2017, 3:31 pm
In the Trump era, will the SEC’s enforcement division continue to pursue its “no broken windows” policy — which calls for its prosecution of minor infractions by institutions and individuals? Lawyers warn advisors to heighten their senses over the watchdog’s enforcement activities. via Financial Advisor IQ – Will the SEC Drop Broken Windows Enforcement?