‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSEC Unveils Enforcement Goals in Strategic Plan Draft | Institutional Investor
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 […]