Word: anning
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First, it was "Reform Wall Street." Then it was "Reform the Financial Services Industry." And all the while, where were the voices shouting for a closer look at the regulators? More than the laws, the industry, or the pavement of Wall Street, the real institution that needs to be reformed...
The SEC is the front line in efforts to defend those old ladies from the Madoffs of Wall Street. As an enforcer of the Federal Securities Laws, a reformed and effective SEC would be apolitical and better able to respond in a 21st century manner to regulatory infractions, while addressing...
History has shown that nearly every attempt by the SEC to change or introduce an important new rule has been politically and emotionally charged thanks to entrenched SEC staff members who have been asleep at the switch for years, or commission members who are beholden to political interests. Sadly, as...
The above is not the case in today’s enforcement practices on Wall Street. Today, an SEC examiner comes to do an audit with a preconceived notion that there is something illegal happening. Then he or she finds something that isn’t illegal, forms the perception...
Beyond this, America needs an SEC that is independent and not politically motivated, with a staff that is well-educated and knowledgeable about the Securities Laws. Accepting this, I believe we have a chance at building an enforcement and rule-making regime that gives America the best chance to compete...