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Enforcement Broken Windows

Dorsey & Whitney LLP

The U.S. Chamber On SEC Enforcement

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The U.S. Chamber of Commerce published a report regarding the enforcement practices of the SEC titled “Examining U.S. Securities and Exchange Commission Enforcement: Recommendations on Current Processes and Practices, July...more

Dorsey & Whitney LLP

The SEC’s Broken Windows Program – A Success?

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Broken windows entered a new chapter. Previously, the program focused on the custody rule, Rule 105 and the filing of certain forms such as Form 4 and Schedule 13D. The point is to create SEC omnipresence – the cop on the...more

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