Antonia Apps, regional director of the New York Office of the United States Securities and Exchange Commission. Courtesy of Harvard Law School.SEC Official Hints at More Restraint With Industry Bars, Less With Wells Meetings
Antonia Apps predicted during this year's Securities Enforcement Forum that new agency leadership would be more thoughtful in deciding when to ban individuals from the securities industry, and would be more receptive to Wells meetings.
January 29, 2025 at 01:15 PM
4 minute read
Expect to see the Securities and Exchange Commission shift its approach toward penalties and Wells meetings—which occur before the SEC launches an enforcement action—the regional director of the agency’s New York City office said during this year’s Securities Enforcement Forum.
Expressing only her personal views, Antonia Apps predicted Tuesday that new agency leadership would be more thoughtful in deciding when to ban individuals from participating in the securities industry.
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