Solomon, Matthew C.; Bergen, Robin M.; Collins, Alexis - In: Journal of Investment Compliance 19 (2018) 1, pp. 15-19
Purpose: To discuss and analyze the US Securities and Exchange Commission’s (SEC’s) FY 2017 Annual Report, which details its priorities for the coming year and evaluates enforcement actions that occurred during FY2017. Design/methodology/approach: Summarizes key shifts from FY 2016,...
