In the wake of recent events, legislators, regulators and prosecutors are busy formulating new remedies to address past ills and prescriptions to deter misconduct in corporate executive suites and in the nation’s securities markets. There are calls for and against legislation, debates as to the reasonable limits of corporate criminal prosecution and a clamor for reform. Where all this will lead remains to be seen, but one thing is clear: the Securities and Exchange Commission, on its own initiative, and at the urging of various interested parties, is proclaiming its toughness and letting the world know that its enforcement program is ready, willing and able to wage war on those who violate the securities laws.
This article highlights several current developments at and pronouncements by the SEC regarding the current enforcement landscape.
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