McKown, Joan; Klehm III, Henry; Gordon, Harold; … - In: Journal of Investment Compliance 17 (2016) 4, pp. 54-60
Purpose To explain and evaluate amendments to the rules of practice governing the US Securities and Exchange Commission’s (SEC’s) Administrative Proceedings that were adopted by the Commission on July 13, 2016. Design/methodology/approach Describes SEC’s increased pursuit of enforcement...
