Jan. 27 Webcast Materials
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You are browsing the archive for April 2011.
Finra’s Richard Ketchum Seeks Greater Power Over Wall Street
Finra seeks to replace SEC as top enforcer of investment advisers.
Dr. Gene Gohlke Retiring from SEC’s OCIE After 35 Years of Service
Dr. Gohlke has led the SEC’s investment adviser/investment company examination program for the past 30 years.
SEC Announces Arrival of New Administrative Law Judge Cameron Elliot
Elliot is former ALJ for the Soc. Sec. Administration, and former AUSA.
Bank of America Wins Dismissal From Countrywide Mortgage Securities Suit
Court rules BofA not liable for actions of Countrywide unit.
Why Has the SEC Abandoned Administrative Enforcement Actions?
Is it really possible, you ask, that a federal agency charged with important law enforcement responsibilities and that has limited resources has abandoned the most efficient and cost effective forum available to it? So let us take a quick look at some historic comparisons. In the first quarter of 2011 the SEC issued exactly one [...]
Supreme Court hears arguments on securities fraud
Court will examine case that imposes new test for plaintiffs to meet at class certification stage.
Judge Issues Written Ruling on FCPA ‘Foreign Official’ Definition
Court rules officers of state-owned corporation may be ‘foreign officials’ within meaning of FCPA.
Securities Docket News Wire for April 23, 2011
Get caught up with the Securities Docket News Wire for April 23, 2011.
Web Watch: Best of the Week Ending April 22
The week’s most interesting columns and blog posts from around the web.
Securities Suits Against Chinese Companies Continue to Mount
23% of all securities lawsuits filed so far this year are against Chinese companies.