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News November 6, 2017 Issue

SEC Turning Away from ‘Broken Windows’ Enforcement

It looks like the SEC plans to break fewer windows under chairman Jay Clayton than it did under former chair Mary Jo White. What’s more, there may be less emphasis on seeking admissions of wrongdoing when settling cases. The co-director of the agency’s Division of Enforcement reportedly made both these points in a panel discussion at a recent securities conference.

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