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You are browsing the archive for April 2011.
Sanjay Wadhwa Named Associate Regional Director for Enf. in SEC’s NY Office
Wadhwa previously served as Assistant Regional Director and as Deputy Chief of the Enf. Division’s Market Abuse Unit.
SEC Budget Breakdown: The Good, the Bad, and the Ugly
Is the SEC’s FY 2011 good, bad, or ugly? Yes, yes and yes.
In Financial Crisis, No Prosecutions of Top Figures
High-profile prosecutions have not followed the financial crisis.
Securities Docket News Wire for April 14, 2011
Get caught up with the Securities Docket News Wire for April 14, 2011.
Canada: Ten face insider trading charges
Alleged scheme involved purchase of shares of Eveready Inc. prior to acquisition by Clean Harbors.
Australia: The skinny on rogue trading
In Australia, the odds of being caught for insider trading are “shortening steadily.”
SEC Is Reviewing Small Internet Sales of Stock
SEC considering calls to relax its rules on companies’ use of “crowd-funding.”
“The F Word:” Facilitation payments under the UK Bribery Act
Companies that feel compelled to make facilitation payments need to communicate with the UK’s SFO.
Securities Docket News Wire for April 13, 2011
Get caught up with the Securities Docket News Wire for April 13, 2011.
Gupta judge expresses ‘concern’ over SEC courts
Judge Rakoff concerned Dodd-Frank puts more adjudication into hands of SEC administrative judges.