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SEC chair addresses enforcement

  • Speech — gray Image

Oct 09, 2013

SEC Chair Mary Jo White gave a speech at the Securities Enforcement Forum in Washington, D.C., to clarify the Commission's enforcement program policies.

As mentioned in her previous speech at the Council of Institutional Investors fall conference, Ms. White stated that the SEC should “strive to be everywhere” and take on any violations, whether big or small. She noted that the SEC is becoming more efficient with their finite resources and continuing to develop new tools and other “force multipliers” to aid in the enforcement of securities laws and protect investors.

In addition, Ms. White explained several actions the SEC is taking to improve its enforcement policy. These actions are:

  • Increasing its presence that exceeds its physical footprint.
  • Leveraging its exam program.
  • Using effective force multipliers, such as the whistleblower program, and providing incentives to companies that report misconduct.
  • Collaborating with its partners at the Department of Justice, FINRA, and state securities regulators.
  • Using technology that easily spots fraud early on.
  • Pursuing gatekeepers who have become delinquent in their responsibilities.
  • Establishing a streamlined approach during investigations and litigation cases.
  • Monitoring the micro-cap community for any unlawful scheming.

Full text of the speech is available on the SEC's Web site.

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