Mr. Roisman said it’s important for the SEC to review its rules and regulations to ensure the agency is effectively promoting investor confidence, adding that if he’s confirmed he will focus on enforcement.
“There’s a perception that the markets are rigged against the little guy and I think it’s important for the SEC to try to dispel that notion,” Mr. Roisman said. “And one of the ways they can do that is by having a strong enforcement program. A program that holds regulated entities and individuals accountable.”
‘Enforcement 40’ for 2020
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