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Regulation
By Securities Docket on January 6, 2012, 7:50 pm
Like SEC, CFTC establishes new whistleblower office.
Posted in Industry, Regulation, SEC, Top | Tagged CFTC, Whistleblowers
By Securities Docket on May 25, 2011, 10:05 am
SEC must use its recruiting budget by end of 2011 fiscal year.
Posted in Regulation, SEC, Top | Tagged Regulators
By Securities Docket on September 21, 2010, 1:12 pm
Coming soon to a theater near you: lawyer ads for whistleblowers.
Posted in Regulation | Tagged Dodd-Frank, Whistleblowers
By Amanda Harding on April 21, 2010, 3:55 pm
Bill would retroactively apply to Madoff victims.
Posted in Regulation | Tagged Madoff
By Amanda Harding on April 21, 2010, 3:34 pm
Google will make financial disclosures exclusively on this “recognized channel.”
Posted in Regulation | Tagged Regulation, Regulation FD
By Amanda Harding on April 2, 2010, 10:35 am
The agency may require detailed findings in settlement agreements.
Posted in Regulation, SEC | Tagged Regulation, Regulators
By Amanda Harding on April 1, 2010, 12:55 am
Upcoming case will test boundaries of the SEC’s jurisdiction in CDS markets.
Posted in Regulation, SEC | Tagged CDS, Insider Trading
By Securities Docket on March 15, 2010, 4:11 pm
Sen. Dodd announces his new bill on Capitol Hill.
Posted in Industry, Regulation | Tagged Legislation, US Congress
By Amanda Harding on March 2, 2010, 5:18 pm
ASc settles insider trading case with former operations manager for Alberta Clipper Energy.
Posted in Global, Regulation | Tagged Canada, Insider Trading, Settlements
By Amanda Harding on March 2, 2010, 5:12 pm
Lanny Breuer speaks on undercover operations in white collar crime enforcement.
Posted in Criminal, Regulation | Tagged Investigations, Undercover