A Proactive And Analytical Approach To Enforcement

Law360, New York (December 21, 2011, 1:20 PM EST) -- Several enforcement actions announced by the U.S. Securities and Exchange Commission (SEC) appear to be the early fruits of several initiatives launched by the SEC Enforcement Division over the past year.

On Sept. 22, 2010, SEC Director of Enforcement Robert Khuzami testified before the Senate Judiciary Committee that the Enforcement Division was launching “a range of initiatives designed to increase its ability to identify hidden or emerging threats in the markets, and to stop that misconduct early.”

Such initiatives included the creation of new national specialized...
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