Finance
SEC, CFTC Leaders Predict Shifting Priorities, Penalty Policies
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The Securities and Exchange Commission and the Commodity Futures Trading Commission are expecting new leadership put in place by the Trump administration to usher in different enforcement priorities and a shift in how firms and individuals pay fines.
“Penalties — remedies in general, but penalties included — are an area where I do think it’s likely we’ll see changes,” Sam Waldon, acting director of the SEC’s enforcement division, said at an industry conference in Austin Monday.