Tag Archives: Enforcements

SEC Enforcement 2018 Report

On Nov. 2, SEC issued enforcement report on FY 2018 activities. Follows SEC Nov 2017 enforcement report on priorities and results. 2018 Core Principles Principles are to protect Main Street investor, individual accountability for action. Bar bad actors from securities markets, and send strong message of deterrence. Keeping pace with technological change, remedies to further…
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