‘Enforcement 40’ for 2020
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By Securities Docket on November 16, 2018, 1:24 pm
Some people believe that a formal enforcement action is the obvious response to every compliance infraction. In my view, a better approach is to build certain norms into the industry that foster compliance. Hitting someone over the head with a criminal conviction is a sure way to scare all trick-or-treaters, even those not breaking the […]
By Securities Docket on November 16, 2018, 1:22 pm
Given his frequent comments on market structure issues, the top of his wish list for the SEC might seem surprising. According to Commissioner Jackson, if he could have one wish, he would like to see a legislative fix to reverse the U.S. Supreme Court’s decision in Kokesh v. SEC. In Kokesh, the Supreme Court rejected […]