SEC will try cooperation before enforcement, White says

10/22/2013 | InvestmentNews (free registration) · ThinkAdvisor

The Securities and Exchange Commission will make an effort to resolve regulatory shortcomings by financial firms before initiating enforcement action, Chairman Mary Jo White says. "The industry and the SEC work best in partnership," she said. Some see the comment as a softening of White's warning that the SEC will crack down on minor offenses.

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InvestmentNews (free registration) · ThinkAdvisor

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