SEC Enforcement Chief Says 'Broken Windows' Is Working

Law360, New York (October 15, 2015, 8:26 PM EDT) -- The head of enforcement at the U.S. Securities and Exchange Commission on Thursday defended the agency’s “broken windows” approach to policing market rules, saying a set of enforcement actions taken this week shows the two-year-old effort is bearing results.

The SEC's broken windows approach came two years ago when Chair Mary Jo White announced plans to target even the smallest violations of market rules in a bid to promote general order and improve compliance. (Credit: Law360) In comments before the SEC’s Investor Advisory Committee, Andrew Ceresney pointed to a string of settlements the agency announced Wednesday over firms' alleged failure to...

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