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首页> 美国政府科技报告 >Securities Regulation: SEC (Securities and Exchange Commission) Enforcement Efforts in 1978 and 1985
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Securities Regulation: SEC (Securities and Exchange Commission) Enforcement Efforts in 1978 and 1985

机译：证券监管：证券交易委员会（证券交易委员会）在1978年和1985年的执法工作

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The report presents information on completed Securities and Exchange Commission (SEC) enforcement actions for two 6-month periods (April to September) in 1978 and 1985. In addition, they gathered data on completed U.S. Attorney and state actions which were based on SEC enforcement efforts. The data includes a summary of: Enforcement actions completed--actions in which SEC has announced that sanctions were imposed against one or more entities; Violations cited--statutes or regulations cited by SEC as having been violated by the sanctioned entities; Entities sanctioned--individuals, issuers, registered broker/dealers, registered investment advisors, and others that were sanctioned; Sanctions imposed--the types of penalties and remedies imposed on the entities sanctioned.

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