Posts tagged Order Instituting Public Administrative and Cease and Desist Proceedings.
The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 made numerous, and significant, changes to the Securities and Exchange Commission's regulatory powers particularly with respect to regulated professionals in the securities industry. But its broad sweep did not ignore non-regulated persons either. And, the significance of these changes to non-regulated individuals should not be underestimated.
- 929P(a) of Dodd-Frank granted the SEC authority to initiate the administrative proceedings against both regulated and non-regulated persons and to seek ...
Posted in: Dodd-Frank, SEC
Tags: dodd-frank, Dodd-Frank Wall Street Reform and Consumer Protection Act, Harding Advisory LLC, Laurie A. Bebo, OIP, Order Instituting Public Administrative and Cease and Desist Proceedings, SEC, Securities Exchange Commission, Wing F. Chau