Discuss about the primary mission of a regulatory agency

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Reference no: EM131763208

The SEC website is at sec.gov. Go to the website and look around at it. Keep in mind the things you have learned about the primary mission of a regulatory agency. Then, go to the Enforcement tab, and then select litigation releases.

You want to read through 1 or 2 of them, and then summarize the story you read into 1 or 2 paragraphs. List the primary players, where they are from, what the SEC said they did, and any other relevant facts. Make a note of what the SEC is asking in the action they are taking against the person.

Then, look at the actual legal action filing the SEC has done. See if you can glean any other additional facts and add them into your story.

End your assignment by telling the class whether you think based on what you have read the SEC action is fair or unfair and why.

Tell me how you think the person being charged reached the point where they may have done what the SEC says they did, and whether you think they would say they are not guilty of anything. Note if you think they started out their scheme or plan intending to break the law or not.

Reference no: EM131763208

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