Tracking Recent Trends In SEC Enforcement

By Stephen Taub2007-06-26T00:00:00

THIS IS MEMBERS-ONLY CONTENT

You are not logged in and do not have access to members-only content.

If you are already a registered user or a member, SIGN IN now.

Article
SEC Enforcement; Proxy Fights; More

2008-07-29T00:00:00Z By Compliance Week
Article
Report: SEC Must Improve Enforcement Operations

2007-09-25T00:00:00Z By Melissa Klein Aguilar
Basic Page
‘Extraordinary cooperation’ pays off for PFS Investments

2025-08-15T18:59:00Z By Aly McDevitt

As regulators shift toward rewarding transparency, self-regulation and self-reporting, the way PFS Investments handled a longstanding problem serves as an example of how proactive remediation can turn a costly compliance error into a manageable regulatory outcome.