‘Enforcement 40’ for 2020
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By Securities Docket on April 21, 2009, 10:00 pm
Archived Version and Materials Now Available For Today’s SEC Enforcement Update Webcast (April 21). http://bit.ly/6DUPA #sdx # Copy of the Special Inspector General for TARP’s Quarterly Report to Congress. http://bit.ly/1bsxRM #sdx # SEC’s Division of Corporation Finance Offers More Guidance on Rule 10b5-1. http://bit.ly/zPqRe #sdx # Report: Sens. Schumer and Shelby to Offer Amendment Adding […]
By Securities Docket on April 21, 2009, 3:38 pm
The archived version of today’s webcast (“SEC Enforcement Update: A Wounded Animal is a Dangerous Animal”) is now available here. In addition, the slides from today’s webcast are also available here.
By Securities Docket on April 21, 2009, 11:45 am
The presentation materials for today’s webcast (2 pm Eastern) entitled “SEC Enforcement Update: A Wounded Animal is a Dangerous Animal” are now available here.
By Securities Docket on April 21, 2009, 11:28 am
A copy of the Office of the Special Inspector General for the Troubled Asset Relief Program’s Quarterly Report to Congress dated April 21, 2009 is available here (see link below). The report notes that the Special Inspector General for TARP has initiated nearly 20 preliminary and full criminal investigations to date. Although the details of […]
Posted in SEC
By Securities Docket on April 21, 2009, 10:26 am
Senators Charles Schumer (N.Y.) and Richard Shelby (Ala.) are reportedly adding an amendment on the Fraud Enforcement and Recovery Act that would add $20 million to the budget of the Securities and Exchange Commission. Glenn Thrush of Politico reports that the bill is expected to be taken up by the Senate this week. According to […]
By Securities Docket on April 21, 2009, 7:15 am
The Monetary Authority of Singapore has sued a former employee of WBL Corporation for alleged insider trading. The Business Times reports that the insider trading case marks the first time MAS has ever acted as the plaintiff in a lawsuit. In previous cases, MAS has imposed fines without court action after the individuals admitted to […]
Posted in Global
By Securities Docket on April 21, 2009, 7:02 am
The U.S. Supreme Court announced yesterday that it will not hear a plea to clarify the issue of “loss causation.” SCOTUSblog reports that on Monday, the Court refused to hear a plea that it clarify the amount of proof that investors must produce to show that a decline in the price of stock they bought […]
By Securities Docket on April 21, 2009, 6:28 am
Today, at 2 pm Eastern, Securities Docket will host a webcast entitled, “SEC Enforcement Update: A Wounded Animal is a Dangerous Animal.” In a sharp detour from the era of Chairman Christopher Cox, the SEC under new Chairman Mary Shapiro’s leadership has obtained big budget increases that will be used to increase the number of […]