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Browse: Home / 2017 / December / 20 / Will the SEC Drop Broken Windows Enforcement? — Financial Advisor IQ

Will the SEC Drop Broken Windows Enforcement? — Financial Advisor IQ

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?

Posted in SEC, Top | Tagged Enforcement

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