The Regulatory Risks Of A Deregulatory Environment

By Mark Schonfeld ( September 19, 2017, 11:49 AM EDT) -- Now that we are several months into an administration with an agenda of financial deregulation, and the investigations related to the financial crisis are fading into the rearview mirror, one might reasonably believe financial institutions are in for several years of relative quiet from financial regulators. For example, in his first public speech as chairman of the U. S. Securities and Exchange Commission this past July, Jay Clayton's remarks on SEC enforcement put a priority on protecting "Main Street" investors, particularly retirees, from perpetrators of affinity, microcap and pump-and-dump frauds. [1]. . .

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