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Browse: Home / Enforcement

Enforcement

Patrick Bryan Named PCAOB Director of the Division of Enforcement and Investigations

By Securities Docket on December 18, 2019, 9:05 am

The Public Company Accounting Oversight Board today announced that Patrick Bryan has been named the PCAOB’s Director of the Division of Enforcement and Investigations. In this role, Mr. Bryan will advance the organization’s investigations and litigation of violations of PCAOB rules and other applicable securities regulations. *** Mr. Bryan currently serves as the Assistant General […]

Posted in Industry, People, Top | Tagged Enforcement, PCAOB

Mar. 1 Webcast: SEC Enforcement -- Current Developments and What’s Ahead for 2019

Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

By Securities Docket on February 13, 2019, 11:17 am

Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.

Posted in Industry, SEC, Top | Tagged Enforcement, Reviews, SEC, Webcasts

Can Hester Peirce Refocus The SEC On Its Real Job?

By Securities Docket on December 10, 2018, 5:09 pm

A closer look at Peirce’s public activities since she became Commissioner in January suggests that her opinion on this specific issue isn’t just a one-off. To the contrary, it reflects a larger deregulatory sensibility that has gladdened financial institutions and investors alike. For example, in those same remarks, Peirce warned the Commission against focusing on […]

Posted in SEC, Top | Tagged Enforcement

Will the SEC Drop Broken Windows Enforcement? — Financial Advisor IQ

By Securities Docket on December 20, 2017, 3:31 pm

In the Trump era, will the SEC’s enforcement division continue to pursue its “no broken windows” policy — which calls for its prosecution of minor infractions by institutions and individuals? Lawyers warn advisors to heighten their senses over the watchdog’s enforcement activities. via Financial Advisor IQ – Will the SEC Drop Broken Windows Enforcement?

Posted in SEC, Top | Tagged Enforcement

Signs of a Step Back in Financial Regulatory Enforcement – The New York Times

By Securities Docket on February 22, 2017, 3:17 pm

Enforcement often relies on the presence of people with the authority to issue punishments, so cutting back is not so much a matter of changing the law as having fewer cops on the beat. We may be seeing the beginning of that kind of shift away from enforcement as President Trump’s administration works to roll […]

Posted in SEC, Top | Tagged Enforcement

SEC’s White Warns: ‘Serious Mistake’ to Weaken Securities Rules — Corporate Counsel

By Securities Docket on November 21, 2016, 9:50 am

“I would hope—and expect—that the significant enhancements we have made will be continued in future years, with the SEC acting as an aggressive and strong regulator of the federal securities laws, consistently looking to broaden our impact and strengthen deterrence of wrongdoing,” White said. “That is our duty and the SEC should continue to use […]

Posted in SEC, Top | Tagged Chairman, Enforcement

Recent Criticism of the SEC: Fair or Unfair? — HLS Forum

By Securities Docket on May 25, 2016, 12:16 pm

Over the last few years, the SEC has been criticized for (1) failing to Over the last few years, the SEC has been criticized for (1) failing to “consistently and aggressively enforce the securities laws and protect investors and the public,” (2) obtaining sanctions that amount to only a slap on the wrist against major […]

Posted in SEC, Top | Tagged Enforcement

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