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October 10, 2013

SEC on the prowl for rule breakers big and small, White says

The top U.S. securities regulator on Wednesday placed everyone from auditors to fund board members on notice, saying her agency plans to look for violations in all corners of the market, from major Wall Street investment firms to boiler room operations.

“‘Minor violations that are overlooked or ignored can feed bigger ones, and, perhaps more importantly, can foster a culture where laws are increasingly treated as toothless guidelines,’ Securities and Exchange Commission Chair Mary Jo White said in a speech at a conference about SEC enforcement issues.

“‘I believe it is important to pursue even the smallest infractions.’

White, a former federal prosecutor, has made tough enforcement a cornerstone of her chairmanship at the SEC since she took the helm of the agency in April.”


Read full Reuters article here

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