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Keywords

United States Securities and Exchange Commission (SEC), investor protection, enforcement, Enforcement Division, Chairman William J. Casey, Wells Committee, Wells Submission, Recommendations 16 and 17, Recommendation 20, fairness, due process, Wells Process, SEC powers, Insider Trading Sanctions Act of 1984 (ITSA), Insider Trading and Securities Fraud Enforcement Act of 1988 (ITSFEA), penalties/penalty, Treadway Commission, Securities Enforcement Remedies and Penny Stock Reform Act of 1990 (Remedies Act), Xerox case, Sarbanes-Oxley Act, Section 308(a), Fair Fund, authority, Seaboard Report, waiver, Department of Justice (DOJ), Revised Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions, attorney-client privilege, GAO, SEC, investor protection, SEC’s Enforcement Division, critical review of SEC’s enforcement program, organization of the SEC, Wells Committee, Wells Submission, Wells Process, remedial and punitive relief, Insider Trading Sanctions Act of 1984, Treadway Commission, The Securities Enforcement Remedies and Penny Stock Reform Act of 1990 (Remedies Act), Sarbanes-Oxley Act of 2002, Fair Fund, corporation, shareholder, Seaboard Report, recommendations

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