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Expert Analysis

5 Takeaways From SEC's Filing Violation Sweep

Law360, New York ( September 18, 2014, 10:08 AM EDT) -- The U.S. Securities and Exchange Commission last week announced a mass action against 34 defendants for alleged violations of federal securities laws regarding reporting of stock holdings. As The Wall Street Journal reported, the action "is part of the 'broken windows' strategy" — i.e., where "even the smallest infractions" are pursued — announced by SEC Chairwoman Mary Jo White in 2013....

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