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Keywords: Wells notice
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Journal Articles
Parties push to enforce statutory time limits on SEC enforcement actions
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2015) 16 (3): 30–32.
Published: 07 September 2015
... enforcement actions. They may also expect the SEC to respond by more actively seeking tolling agreements, and/or being more cautious in issuing Wells notices. Originality/value – Guidance based on pending decisions interpreting US securities law, may bring regulatory adjustments to agency practice...
