SEC - Enforcement Priorities In 2016


The Securities and Exchange Commission Enforcement Division will focus on market structure issues, cybersecurity and financial fraud in 2016, Enforcement Director Andrew Ceresney tells Bloomberg BNA.  He also says the division also is taking a hard look at compliance with 1934 Securities Exchange Act Rule 15c3-5, which addresses a range of market-access arrangements, and that municipal securities and Foreign Corrupt Practices Act cases are likely this year.