SEC enforcement manual overhaul signals a new era for firms under investigation
Tuesday, March 10, 2026 · first reported by Pensions & Investments
SEC overhauled its enforcement manual procedures to provide more settlement opportunities for broker-dealers and investment advisers. Significant regulatory shift reducing enforcement severity for fund operators and asset managers.
- Firm
- SEC
The summary and fields above are extracted from the published reports and can contain errors. The linked articles are the source of record.