Jan. 27 Webcast Materials
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You are browsing the archive for May 2011.
SEC to Release Findings on Stanford Investors’ SIPC Eligibility
SEC completes review on whether SIPC erred in denying coverage to Stanford investors.
SEC Is Pressed on Firms’ Disclosures of Cyberattacks
SEC asked to issue guidance requiring companies to report when they have suffered a major network attack.
SEC Whistleblower Office Does Not Want To Talk To You
One man’s effort to speak to the new Office of the Whistleblower.
Rajaratnam Conviction Means it is Time for Some (In)Traders to Get Paid!
Traders on Intrade had pegged chance of conviction at 94%.
Can a tweet meet the SEC’s Fair Disclosure rules?
Applying the SEC’s the SEC’s 2008 Reg FD framework to Twitter.
Securities Docket News Wire for May 12, 2011
Get caught up with the Securities Docket News Wire for May 12, 2011.
Next Up: A Crackdown on Outside-Expert Firms
With the government securing a conviction against Raj Rajaratnam of the Galleon Group, federal prosecutors will shift their focus to expert networks — the intricate web of money managers, corporate executives and consultants at the center of another wave of insider trading cases. Read more: Next Up: A Crackdown on Outside-Expert Firms — NY Times
Lindsey Manufacturing Convicted: What Does It Mean?
Case sends message that employees of state-owned enterprises will be considered foreign officials under FCPA.
Galleon Chief’s Network of Friends Who Tell Secrets
Rajaratnam’s deep set of contacts in Silicon Valley set him apart.