Why Does the SEC Bring So Few Reg FD Enforcement Actions?

One question that I hear quite a bit is why does the SEC bring so few enforcement actions over Regulation FD violations? The SEC has bring around 15 cases over FD violations in 20 years, only three in the past decade. As Broc explains in this video, he sees 5 reasons:

• Companies do comply
• Individuals get sanctioned
• Fix is build into Reg FD itself for inadvertent violations
• “Reasonable clear” material information must be shared
• SEC’s Enforcement resources are limited

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