When you think about it, puns are kind of like securities enforcement actions. They could make you groan; they could make you laugh (if the conduct is particularly goofy) (or if you don’t like the respondent); or they often make you think - causing you to say, “Oh, I see,” (which, of course, is different from OCIE, the prior name of the SEC’s Division of Examinations or DOE) (which is different from “doe a deer a female deer,” but we digress...). In this month’s article, we try to connect puns and other plays on words with SEC and FINRA enforcement actions and initiatives. As regular readers of NSCP Currents know, in the past, we tried to connect enforcement issues with “pop” culture references. If we succeed here, this article may become our most pop-ular one yet.

Originally published in NSCP Currents - April 2021.