Enforcement is not an end goal for the Commission; it is a last resort in getting to that goal. Of course, this begs the question, “What is the end goal?” The end goal is fulfilling our mission—protecting investors, facilitating capital formation, and maintaining fair, orderly, and efficient markets. As a regulatory agency, the Commission sets rules that are intended to achieve these objectives. We work with the industry to help people comply with the rules.
‘Enforcement 40’ for 2020
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