Tag: Regulators

Compliance

Regulating Regulators

The Courts act to protect the rights of the regulated By Mark J. Astarita   Securities attorneys have often suffered the frustration of dealing with regulators who attempt to enforce rules which are unclear, and sometimes, unwritten. While the SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC, FINRA and the state securities authorities have broad powers to enforce […]