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Securities and Exchange Comm: Greater Attention is Needed to Enhance Communication and Utilization of Resources in the Division of Enforcement: Congressional Testimony
Securities and Exchange Comm: Greater Attention is

Our Price: $10.00
By Richard J. Hillman (au)
Year: 2009
Pages: 14
Binding Paperback

Product Code: 1437916333

In recent years, questions have been raised about the capacity of the SEC Div. of Enforcement to manage its resources and fulfill its law enforcement and investor protection responsibilities. This testimony focuses on: (1) the extent to which the Div. of Enforcement has an appropriate mix of resources; (2) considerations affecting penalty determinations, and recent trends in penalties and disgorgements ordered; and (3) the adoption, implementation, and effects of recent penalty policies. For this work, Hillman analyzed information on resources, enforcement actions, and penalties; and interviewed current and former SEC officials and staff, and others.

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