SECs Expanded Enforcement Tool Box

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The Securities and Exchange Commission (SEC)has re-invented and revitalize itself to address the market crisis in 2009, the Ponzi schemes perpetrated by Bernard Madoff and Stanford Financial, the Inspector General reports criticize both the staff and process utilized, as well as the numerous Congressional proposals to restructure or abolish the agency. These influences have resulted in changes made by the SEC that are significant to broker/dealers, investment advisers and issuers of securities which are subject to SEC oversight.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Daniel LeGaye, The LeGaye Law Firm, PC | Attorney Advertising

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