Statement: December 17, 2009	View Printable PDF Version
Docket Nos. AD07-13-002, PL10-2-000 and PL10-1-000

Commissioner Moeller's statement on enforcement package

"I would commend our Office of Enforcement for their work in drafting the orders before us today. (Docket Nos. PL10-1 and PL10-2.) These orders, relating to (1) the disclosure of exculpatory materials and (2) the issuance of preliminary notices, will provide greater transparency of our enforcement process and improve due process before this Commission.

I similarly commend our Enforcement Office with their impressive work on the annual report of their activities for fiscal year 2009. That report sets out the Commission's enforcement priorities, outlines major enforcement actions taken this year, and describes a range of case studies where entities took a proactive approach in addressing potential violations. I urge our entire regulated community to read and digest this report as it provides clarity and guidance toward our goal of full compliance with the Commission's regulations."

View Printable PDF Version