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Securities Law Update: SEC’s Broken Windows Enforcement

by R. Shawn McBride | Jul 13, 2015 | Securities Laws, Uncategorized

Broken Windows Policy – The Underlying Rationale The term “broken windows” comes from an eponymous 1982 article in The Atlantic, which asserted that unaddressed disorder encourages more disorder, followed by more serious crimes.[1]  SEC Chairwoman Mary Jo White, who...

Securities Law Update: SEC’s Broken Windows Enforcement

by R. Shawn McBride | Jul 9, 2015 | Securities Laws, Uncategorized

Introduction In the 1990s, former New York City Mayor Rudolph Giuliani and Police Commissioner Bill Bratton adopted a policing strategy known as “broken windows” or “quality-of-life” to combat crimes.  The theory was that, when a window is broken and immediately...

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