这证券交易委员会通过为过去仅为净缺陷函，似乎通过为活动进行执法行动和罚款来似乎对公司变得更加艰难。投资新闻报告。“对我来说是什么粘在一起是基于所引用的违规行为的制裁和引用的水平”Rob Tull.的证券合规顾问告诉在。证券公司表示，该机构并不令人满意，但它对那些在他们说的公司之后对那些没有更正缺陷的公司采取行动。Lori Richards.那the director of the SEC’s Office of Compliance Inspections and Examinations, says the criteria for bringing enforcement actions is no different from before, but “since the exam program is now focusing its attention on areas of greatest compliance risk, we are finding more problems than before.”