SEC Sets New Policy; Will Go Easier On Market Participants Who

Hume, Lynn
October 2001
Bond Buyer;10/24/2001, Vol. 338 Issue 31250, p5
Trade Publication
Reports on the enforcement policy introduced by the U.S. Securities and Exchange Commission (SEC) for cooperating market participants in enforcement actions. Case study that forms basis for the enforcement policy; Several ways by which SEC can credit market participants for cooperation; Four criterions to determine a company's cooperation with the SEC.


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