Tag: Enforcement

How effective is the SEC enforcement program at deterrence? With the adoption of the “broken windows” theory of enforcement the agency adopted a theory of market policing borrowed from the New York City police department. It is built on the …

Effective SEC Enforcement – Built on Fundamental Fairness Read More »

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Former SEC Commissioner Irving Pollock passed away on July 1, 2016. Irving Pollock is a central figure is the history of the U.S. Securities and Exchange Commission and modern securities regulation. He served on the staff of the agency in …

The Father of Modern Securities Regulation and SEC Enforcement Read More »

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