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You are browsing the archive for June 2011.
Raters Drawing SEC Scrutiny
Now, SEC officials are focusing on the question of whether the ratings companies committed fraud by failing to do enough research to be able to rate adequately the pools of subprime mortgages and other loans that underpinned the mortgage-bond deals, according to people familiar with the matter. Read more: Raters Drawing SEC Scrutiny — WSJ
Madoff Claims Attract Banks
Banks are pushing the offers on claims to roughly 70-75 cents on the dollar.
Think Compliance is Not Funny? Think Again! (Part 2)
It turns out that it is not just the comedy pros who have a sense of humor in this area.
House Bill Would Keep SEC Budget Flat in 2012, Freeze $100 Million Reserve Fund
House bill would appropriate $222 million less than the SEC has requested.
Securities Docket News Wire for June 16, 2011
Get caught up with the Securities Docket News Wire for June 16, 2011.
Plaintiffs hit first roadblock in China fraud case
Investors’ lawyers have not been able to serve legal papers on five directors and officers named in the lawsuit.
Swiss Probe Trading Activity
Swiss stock exchange probing whether insider trading preceded takeover of Synthes.
Sen. Charles Grassley demands more SAC information from SEC
Senator now seeks information on SEC’s handling of 65 different tips about SAC.
Australia: Kizon, Mansfield face insider trading retrial
Appeals court sets aside acquittals handed down in March last year.
SEC Says Enforcement Director May Now Issue Witness Immunity Orders
Enforcement Director authorized to compel individuals to give testimony or provide other information.