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Keynote Address at the 25th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law, Fordham School of Law

· Paul S. Atkins, Chair of the U.S. Securities and Exchange Commission (United States)

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· Paul S. Atkins · U.S. Securities and Exchange Commission WikiKeynote Address at the 25th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law, Fordham School of Law

ContextSpeech by Paul S. Atkins, Chair of the U.S. Securities and Exchange Commission.

Why it mattersThe SEC Chair announces changes to how enforcement investigations are run, including more dialogue with defendants.

Problems raised
  1. Some enforcement cases used resources out of proportion to investor harm.
  2. Defendants had few chances to discuss investigations.
  3. Enforcement results varied between offices.
Solutions proposed
  1. Reform the Wells process to allow earlier dialogue.
  2. Close matters quickly and without unnecessary publicity.
  3. Make enforcement consistent and aligned with policy goals.
Read full speech on sec.gov ↗

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