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Goals

SEC Unveils Enforcement Goals in Strategic Plan Draft | Institutional Investor

By Securities Docket on June 20, 2018, 4:07 pm

The SEC also said it would center its enforcement activities on addressing misconduct that impacts retail investors, including areas like securities custody and penny stock trading. Such a move would mark a shift from the previous enforcement regime: Under former SEC chair Mary Jo White, the regulator had paid close attention to issues impacting institutional […]

Posted in SEC, Top | Tagged Goals

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