May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught

May 1 Webcast: Cybersecurity and Financial Firms — Bracing for the Regulatory Onslaught

By Securities Docket on April 18, 2014, 6:11 pm

Please join John Stark and Bradley Bondi for this free webcast.

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Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!

Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!

By Securities Docket on April 18, 2014, 8:50 am

Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!

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Introducing Cybersecurity Docket!

Introducing Cybersecurity Docket!

By Securities Docket on April 9, 2014, 8:41 am

Please visit our new sister publication, Cybersecurity Docket!

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Securities Docket Announces Inaugural ‘Enforcement 40’

Securities Docket Announces Inaugural ‘Enforcement 40’

By Securities Docket on October 10, 2013, 3:15 pm

Securities Docket announces its inaugural “Enforcement 40”—our list of the 40 best and brightest securities enforcement defense lawyers in the business.

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Photos and Highlights from Securities Enforcement Forum 2013

Photos and Highlights from Securities Enforcement Forum 2013

By Securities Docket on October 30, 2013, 6:16 pm

If you missed Securities Enforcement Forum 2013 this year, well, you missed a lot! Check out the photos here.

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5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

By Securities Docket on March 14, 2014, 4:24 pm

Five great reasons to attend Securities Enforcement Forum 2014!

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SEC to Launch Cybersecurity Exams of Investment Firms, Offers Sample Document Requests – Compliance Week

By Securities Docket on April 18, 2014, 12:29 pm

On April 15, 2013, the SEC’s Office of Compliance Inspections and Examinations quietly disclosed its examination module pertaining to cybersecurity. The disclosure came in the form of a Risk Alert which noted that OCIE will be conducting examinations of more than 50 registered broker-dealers and registered investment advisers. via SEC to Launch Cybersecurity Exams of [...]

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SEC’s David Gottesman Named Deputy Chief Litigation Counsel – Compliance Week

By Securities Docket on April 18, 2014, 10:23 am

The SEC announced this week that David J. Gottesman has been named Deputy Chief Litigation Counsel in the Division of Enforcement. Gottesman joined the SEC in 2004 and was first promoted to a supervisory role in the trial unit in 2011. via SEC’s David Gottesman Named Deputy Chief Litigation Counsel – Compliance Week

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Four gov’t agencies now investigating high-speed “Insider Trading 2.0” — Ars Technica

By Securities Docket on April 18, 2014, 9:09 am

The revaluation of the subpoenas from Eric Schneiderman’s office, first reported by the Wall Street Journal, brings to at least four the number of agencies probing what the New York Attorney general has described as “Insider Trading 2.0.” Other entities investigating whether Wall Street firms are taking advantage of “differences in delays, or latencies, of [...]

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CEO and Managing Partner of Wall Street Broker-Dealer Charged in Massive International Bribery Scheme — LongIsland.com

By Securities Docket on April 16, 2014, 10:14 am

The chief executive officer and a managing partner of a New York-based U.S. broker-dealer were arrested today on felony charges arising from a conspiracy to pay bribes to a senior official in Venezuela’s state economic development bank. via CEO and Managing Partner of Wall Street Broker-Dealer Charged in Massive International Bribery Scheme — LongIsland.com

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5 ex-Madoff staffers want guilty verdicts thrown out — New York Post

By Securities Docket on April 16, 2014, 10:11 am

The five ex-staffers of Bernie Madoff found guilty of helping the Ponzi monster pull off his epic $17 billion fraud are demanding an acquittal or new trial, claiming they were railroaded by flawed jury deliberations and false testimony from government witnesses. via 5 ex-Madoff staffers want guilty verdicts thrown out — New York Post.

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The truth about insider trading: former Galleon trader—CNBC

By Securities Docket on April 16, 2014, 10:04 am

Back when I used to walk to Wall Street uphill both ways in the snow, there were certain tricks of the trade you were expected to abide by if you were going to operate in the gray area. via The truth about insider trading: former Galleon trader—CNBC

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Regulators Fear Big Data Threatens Audit Quality — CFO

By Securities Docket on April 15, 2014, 10:38 am

Regulators around the world are worried that a rise in audit firms’ consulting business and a corresponding slowdown in the growth of revenues from traditional audits will hurt the quality of those audits, a member of the Public Company Accounting Oversight Board says. via Regulators Fear Big Data Threatens Audit Qualit — CFO

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PwC 2013 Securities Litigation Report Asks Whether There Are Changes Ahead — The D&O Diary

By Securities Docket on April 15, 2014, 10:24 am

In its recently released annual analysis of securities class action litigation, PricewaterhouseCoopers observes that while 2013 may not have been a particularly noteworthy year in the securities class action litigation arena, “significant events and announcements in 2013 have set the stage for potentially sweeping changes in the future.” via PwC 2013 Securities Litigation Report Asks [...]

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SEC nixes high-frequency trading platforms — New York Post

By Securities Docket on April 15, 2014, 10:17 am

In a purge of computerized markets, prompted by public outrage unleashed by Michael Lewis’ “Flash Boys,” the SEC’s campaign will see numerous enforcement actions, new rules and new business practices — a sweeping overhaul that could benefit the beleaguered New York Stock Exchange, The Post has learned. via SEC nixes high-frequency trading platforms — New [...]

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SEC Employee’s Goodbye Party Leads to More than Cake and Farewells – Compliance Week

By Securities Docket on April 11, 2014, 12:35 pm

Somehow, Kidney’s goodbye party departed from standard employee goodbye party protocol–where the departing employee thanks everyone for the cake and for coming out to say goodbye–into something quite different. According to numerous reports this week (not to mention a full-blown transcript of Kidney’s “Retirement Remarks” obtained and published by the SEC Union), Kidney took the [...]

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