Tag
#FINRA
Regulation
Atkins' off-channel critique signals a narrower SEC playbook
Paul Atkins' attack on the SEC's off-channel sweep suggests Wall Street may face fewer broad settlement drives, but tougher triage around investor harm.
By Tomás Iglesias
Regulation
SEC reset keeps adviser, retail-fraud cases in focus
Paul Atkins says the SEC will judge enforcement by quality, but David Woodcock's early signals suggest adviser misconduct and retail fraud still sit near the top of the docket.
By Tomás Iglesias
