SEC Gives Itself High Marks for Enforcement

Abramovich, Giselle
November 2005
Investment Management Weekly;11/28/2005, Vol. 18 Issue 45, p4
The article reports on the release of the "SEC 2005 Performance and Accountability Report," by the U.S. Securities and Exchange Commission in 2005. The report is a summary of accomplishments of the agency in 2005 and challenges to be faced in the future. Among the accomplishments of the agency were in the areas of enforcement, the promotion of informed investor decision-making, the strengthening of market structure, governance, the oversight of broker/dealers, improved operational effectiveness and the adoption of new information technologies.


Related Articles

  • SEC Explains Reg NMS Passage. Bresiger, Gregory // Traders Magazine;Jul2005, Vol. 18 Issue 241, p68 

    The article mentions that the long-term needs of individual investors must trump those of professional traders. That was the gist of the reasoning used by the Securities & Exchange Commission (SEC) in explaining and justifying its huge Reg NMS market structure reform. It argued that the...

  • NASD Plans Mutual Fund Task Force for Cost Disclosure. Hume, Lynn // Bond Buyer;5/13/2004, Vol. 348 Issue 31883, p4 

    Reports that the National Association of Securities plans to establish a Mutual Fund Task Force. Plan to make recommendations to the U.S. Securities & Exchange Commission (SEC) on how to provide investors with more information about mutual fund costs; Help in making informed decisions; Aid in...

  • The Past Year's Top SEC Enforcement Events. VOLLMER, ANDREW N.; DAVISON, DOUGLAS J.; MOWELL, HEATHER // Financial Fraud Law Report;May2013, Vol. 5 Issue 5, p387 

    The article examines the important enforcement events brought by the U.S. Securities and Exchange Commission's (SEC's) Division of Enforcement in 2012. SEC's continued focus on delinquent filings such as insider trading actions which represent the highest number of insider trading actions filed...

  • EVALUATING THE MISSION: A CRITICAL REVIEW OF THE HISTORY AND EVOLUTION OF THE SEC ENFORCEMENT PROGRAM. Atkins, Paul S.; Bondi, Bradley J. // Fordham Journal of Corporate & Financial Law;2008, Vol. 13 Issue 3, p367 

    This article investigates the shifting focus of the U.S. Securities and Exchange Commission's (SEC) enforcement program and explores the development and usage of statutory enforcement powers in the context of due process and fairness. The SEC's decisions about resource allocation, charges to be...

  • SEC Steps Up to the Muni Plate. Ackerman, Andrew // Bond Buyer;6/17/2010, Vol. 372 Issue 33335, p1 

    The article discusses the move of the Securities and Exchange Commission (SEC) to strengthen its enforcement efforts in the municipal securities market in Philadelphia, Pennsylvania. According to Elaine, SEC's associate regional director, there is a need to step up the enforcement efforts to...

  • SEC Enforcement Shifts Focus to Muni Issuers in 2013. GRUGAN, JOHN C.; STANLEY, TESIA N. // Bond Buyer;8/19/2013, Vol. 385 Issue 33964, p6 

    In the article, the authors discuss the issues regarding an increase in annual enforcement activity by the U.S. Securities and Exchange Commission in first half of 2013. They mention that the SEC in 2013 has focused only on small municipal bonds. According to the SEC's 2013 enforcement actions,...

  • The new social order. FALLON, BILL // Westchester County Business Journal;8/19/2013, Vol. 49 Issue 33, p15 

    An interview with Jennifer Openshaw of Greenwich, Connecticut-based Finect on the use of social media for investors, is presented. When asked on investor trends in social media, she says that investors are turning to social media in making investment decisions. She states that Finect was...

  • At Deadline.  // Money Management Executive;4/19/2010, Vol. 18 Issue 16, p6 

    The article reports on the move of the Securities and Exchange Commission (SEC) for large trades through capitalists in the U.S.

  • Investor Access. Williamson, Lauren // InsideCounsel;Oct2010, Vol. 22 Issue 225, p14 

    The article reports that the U.S. Securities and Exchange Commission (SEC) is now requiring the names of people nominated by investors to corporate boards to be published in proxy materials.


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics