But Peikin said the SEC’s shifting focus has been effective in aligning enforcement with the agency’s core mission of providing investor protection. The SEC has also pushed for quick responses to stem risky behavior before it grows into a long-running investigation that ends with a large payoff. Instead it is ending cases with non-monetary relief, undertakings and injunctions to curb risky, violative behavior.
via Top SEC, FINRA officials say downtrend in enforcement cases not caused by pullback | Reuters.
