Jan. 27 Webcast Materials
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You are browsing the archive for October 2011.
Gallagher, Aguilar confirmed for SEC posts
Senate confirms Daniel M. Gallagher Jr. and Luis A. Aguilar as commissioners at the SEC.
What is the SEC’s strategy for dealing with the Janus decision?
SEC looks to have additional courts of appeals have a crack at the Kelly issue.
China jails two officials for leaking economic data
Officials from the People’s Bank of China and National Bureau of Statistics jailed for leaking economic data to securities brokerages.
Securities Docket News Wire for 2011-10-23
Securities Docket News Wire for 2011-10-22 http://t.co/j9DF8R5s #
Securities Docket News Wire for 2011-10-22
SEC’s di Florio Speaks on ‘The Role of Compliance and Ethics in Risk Management’ http://t.co/oiREMRUr # Standard & Poor’s has argued SEC should drop case http://t.co/cJfweEtp # SEC Chief Draws a ‘Bright Line’ on Insider Trading http://t.co/r5djUkvL # Zimbabwe: SECZ hopes new mechanisms will curb insider trading http://t.co/fqufCbuQ # Securities Docket News Wire for 2011-10-21 [...]
SEC’s di Florio Speaks on ‘The Role of Compliance and Ethics in Risk Management’
The SEC’s Carlo V. di Florio speaks on ‘The Role of Compliance and Ethics in Risk Management.’
Standard & Poor’s has argued SEC should drop case
S&P argues to SEC why agency should not commence enforcement proceedings related to ratings of subprime mortgage-related securities.
SEC Chief Draws a ‘Bright Line’ on Insider Trading
SEC Chair believes “pretty bright line” separates insider trading and due diligence when it comes to stock research.
Securities Docket News Wire for Oct. 21, 2011
Get caught up with the Securities Docket News Wire for Oct. 21, 2011.
The Late Mover Advantage in Citigroup’s Settlement
Does recent Citigroup settlement has “late mover advantage” over 2010 Goldman settlement with SEC?