Consequences of Non-Compliance

May 2012

 

Since the 2008 financial crisis that dramatically changed the regulatory framework for the
financial industry, the SEC has brought numerous enforcement actions and levied
approximately $2 billion in fines against a variety of financial companies for noncompliance
with federal securities regulations. The agency has also been very busy
proposing and adopting a deluge of new and revised regulations mandated by the Dodd-
Frank Act, with more calendared to come.

 

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