Daily Archives: April 12, 2019, 8:37 am

A Lens into SEC Enforcement | Middle Market Growth

The report demonstrates how these principles led to the SEC’s primary focus on protecting Main Street investors from bad actors and fraudulent conduct in 2018. The report also imparts another important message from the co-directors of the SEC’s enforcement division: Success should not be solely measured by the sheer number of cases brought or the number of fines imposed. Instead,…

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