SEC Sets Enforcement Priorities
Publication Date: November 27, 2017

The Securities and Exchange Commission's Enforcement Division issued a report highlighting its priorities for the coming year as well as a review of enforcement actions that took place during fiscal year 2017. The SEC described five core principles that will guide their enforcement decision-making: focus on the Main Street investor; focus on individual accountability; keep pace with technological change; impose sanctions that most effectively further enforcement goals; and constantly assess the allocation of resources. Co-Director of the SEC's Enforcement Division, Stephanie Avakian, stated "our goal is to continue to protect investors, deter misconduct, punish wrongdoers and keep our markets the safest and strongest in the world."


Read the Report >>