New SEC has multitude of enforcement cases to consider (FinancialPlanning)

The last months of activity by the previous SEC regime led by Chair Gary Gensler resulted in a record number of cases and a flurry of settlements. With that, the acting SEC Chair now has a stack of enforcement matters to consider. Interviewed for the Financial Planning story, FrontLine Compliance’s Founder and President Amy Lynch does not expect the SEC’s current leadership to move quickly to drop any pending enforcement actions. She comments that the…

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Market players expect an SEC with a lighter touch (MarketWatch)

By recently settling its prior SEC cases, Robinhood is one market participant looking to move beyond the regulator’s tough enforcement measures with its investing platform. It should now be easier for the company to work with the new incoming SEC administration. In the lead comments, Amy Lynch, FrontLine’s Founder and President, states that the new administration may not be as interested in Robinhood unless a new market event emerges within the next four years where…

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