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You are browsing the archive for March 2011.
A failure of funding for the SEC – The Hill’s Congress Blog
Illogically and hypocritically, congressional Republicans are now using failure by the Securities and Exchange Commission (SEC) Wall Street police to detect and shut down the Madoff Ponzi scheme as their primary argument to gut funding for the SEC. Incompetent investigators shouldn’t be funded, these critics contend. Read more
April 5 Webcast: The SEC’s Asset Management Unit and Strategies for Avoiding Trouble in 2011 and Beyond
Please join Bruce Karpati, John Reed Stark and Bradley J. Bondi for this free webcast.
Securities Docket News Wire for March 15, 2011
Get caught up with the Securities Docket News Wire for March 15, 2011.
Securities Docket News Wire for March 14, 2011
Get caught up with the Securities Docket News Wire for March 14, 2011.
Securities Docket News Wire for March 13, 2011
Firms to be put straight over bribery: Guidance expected to be published within days http://p2.to/194N #
Securities Docket News Wire for 2011-03-12
Fannie Mae Ex-CEO Mudd May Face SEC Claims in Subprime Probe – Businessweek http://p2.to/193Y # Lehman Probe Stalls; No Charges a Possibility – WSJ.com http://p2.to/193X # Web Watch: Best of the Week Ending March 11 – Compliance Week. http://bit.ly/eC7GbT # n http://p2.to/193r # The S.E.C. Under Fire http://p2.to/193i # SEC Brawls With US Attorneys Over [...]
The S.E.C. Under Fire
The Securities and Exchange Commission is being scrutinized over both its handling of a former general counsel with a financial interest in a Bernard L. Madoff fund and its filing against a potential witness in the insider trading prosecution of Raj Rajaratnam. The questions being asked could undermine the agency’s credibility as an effective regulator [...]
Web Watch: Best of the Week Ending March 11
The week’s most interesting columns and blog posts from around the web.
Is the SEC Clamping Down on the Non-Denial Denial?
The SEC must make it clear that post-settlement “denials” won’t be tolerated.
Securities Docket News Wire for March 11, 2011
Get caught up with the Securities Docket News Wire for March 11, 2011.