Posts tagged SEC Enforcement Changes.
Last week the US Chamber of Commerce, through its Center for Capital Markets Competitiveness, issued a white paper proposing wide-ranging changes to the SEC's enforcement process. Most of the 28 recommendations were refinements of existing processes or prior recommendations, but some likely would require congressional mandate. The report called for changes to five categories of enforcement policy, to Commissioners' oversight of the enforcement process and improvements to SEC investigations. The Center's objective is to ensure "vigorous, effective enforcement coupled ...
Posted in: SEC
Tags: Admissions, burr forman, Center for Capital Markets Competitiveness, Choice of Forum, Parallel Proceedings, Refining the Wells Process, SEC, SEC Enforcement Changes, Securities Exchange Commission, US Chamber, US Chamber of Commerce, “Broken Windows”