Victorious Mark Cuban Says SEC Should Rethink 'Broken Windows' Strategy

By Bruce Carton2013-10-17T09:02:00

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‘Broken Windows’ Strategy Raises Risk-Management Fears

2015-02-18T12:45:00Z By Joe Mont

The SEC has been pushing its “broken windows” enforcement strategy for more than a year now, chasing down minor infractions alongside larger securities violations. What have we learned? For starters, don’t expect isolated citations; larger sweeps get more bang for the SEC’s buck. As for compliance officers, their jobs will ...
Article
Behind the SEC's New 'Broken Windows' Enforcement Strategy

2013-11-05T00:00:00Z By Jaclyn Jaeger
News Brief
SEC exam priorities for 2026 signal heightened focus on firmwide compliance

2025-12-05T19:25:00Z By Oscar Gonzalez

The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.