Denver Edwards Article “The SEC’s Broken Windows Enforcement Policy: Is there Anything New Here?" Has Been Published In ABA's Business Law Section. Congratulations.
Summary: This article examines the Commission’s Broken Windows enforcement program and whether it should change how compliance professionals think about carrying out their duties. Historically, the Commission has been perceived as monitoring all areas of the securities markets. Broken Windows does not appear to be a significant shift. Instead, Broken Windows has intensified existing elements ...