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SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’
SEC files settled AP alleging Goldman lacked adequate policies and procedures for weekly research “huddles.”
Second Circuit Rebuffs Rakoff, Grants Stay to Hear Appeal on Settlement Ruling — The D&O Diary
“Three judge panel saw nothing wrong at any level with a settlement in which there has been no admission of liability.”
Archived Version and Materials for Jan. 12 Webcast: Effective Insider Trading Policies for Public Companies and Regulated Entities
Jay Dubow, Anthony Creamer and Alma Angotti joined us for this webcast.
When Wall Street Sins, SEC Needs to Extract Confessions: View – BusinessWeek
“The SEC should make further changes to put real meaning behind its attempt at reform.”
Defending the SEC’s Neither-Admit-Nor-Deny Policy
Abandoning the standard settlement language would mean the SEC could no longer pick its trial battles carefully, deciding which factual situations could get the agency the most bang for its litigation buck. Instead, it would have to prepare for almost every matter as if a trial were inevitable, because it almost certainly would be. It’s [...]
January 12 Webcast: Effective Insider Trading Policies for Public Companies and Regulated Entities
Please join Jay Dubow, Anthony Creamer and Alma Angotti for this free webcast.
SEC Shifts Tack on Document Destruction Amid Whistleblower Threat
SEC will “suspend the current policy out of an abundance of caution until a new policy is in place.”
Facebook Implements New Insider Trading Policy
Facebook employees now prohibited from selling stock unless within a specified trading window.
Mary Schapiro’s First 15 Days on the Job
Time has a good piece today on Mary Schapiro’s first 15 days on the job as chairman of the SEC. The article includes quotes from Securities Docket editor Bruce Carton on the significance of the immediate Enforcement-related measures that Schapiro has already implemented.