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You are browsing the archive for April 2010.
Securities Docket A.M. News Wire for April 8, 2010
Get caught up with the Securities Docket A.M. News Wire for April 8, 2010.
CNBC Video: Casting HBO’s Version of ‘Too Big to Fail’
Casting call for HBO’s upcoming “Too Big to Fail.”
Prosecutors Oppose Separate Trials in Galleon Case
Federal prosecutors contest requests by Rajaratnam and Chiesi for separate trials.
Judge Rakoff Refuses to Approve SEC-Schottenfeld Settlement
Court refuses to approve SEC settlement, demanding more information.
Facebook Implements New Insider Trading Policy
Facebook employees now prohibited from selling stock unless within a specified trading window.
Kathleen Griffin Named SEC’s First Chief Compliance Officer
Kathleen Griffin of Putnam Investments named SEC’s first Chief Compliance Officer.
Securities Docket A.M. News Wire for April 7, 2010
Get caught up with the Securities Docket A.M. News Wire for April 7, 2010.
SEC Employee Union Disputes Impact of Restructuring
SEC union says flattening of management, specialized units will have limited impact.
Help Wanted: PCAOB Seeks Director for New Financial Reporting Fraud Resource Center
PCAOB seeks Director for new financial fraud center.
April 20 Webcast: PCAOB Enforcement–The Nuclear Option for Small & Mid-Sized Firms
Please join panelists Michael MacPhail and Brent Baker for this free webcast.