Tag: Schedule 13D

SEC sends a message — to executives and their companies

by Cydney Posner In October 2013, SEC Chair Mary Jo White gave a speech at the Securities Enforcement Forum in which she declared an “enforcement mission” of the SEC to be implementation of the “broken windows” theory of crime deterrence made famous decades ago in NYC: “The [‘broken windows’] theory is […]

Cydney Posner / September 11, 2014

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Tag: Schedule 13D

SEC sends a message — to executives and their companies