Principles-Based Regulation: Looking the Other Way?
October 3rd, 2007 by
Madelaine Eppenstein
In today’s online issue of Bloomberg.com, the financial journalist Susan Antilla quotes Ted Eppenstein, the securities arbitration lawyer, on the precipitous decline in securities regulatory fines and enforcement actions in 2006 by the NASD, NYSE and SEC.
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Posted in Securities Arbitration & Litigation


