- SEC Probes Its Own Chummy Ties To Madoff. http://bit.ly/12h3eA #
- Epiq wins partial victory in backdating lawsuit. http://bit.ly/RoxnR #
- Regulators probe Japan’s Aozora Bank for possible insider trading. http://bit.ly/tXEx7 #
- SEC Finalizes ARS Settlements With Bank of America, RBC and Deutsche Bank. http://bit.ly/H7fs4 #
- Jury Finds Against Former CEO of Kmart in Rare SEC Trial. http://bit.ly/L2SGS #
- SEC Speech: Reversing Course—Putting Investors First in Regulatory Reform (at CW 2009 by Luis A. Aguilar). http://bit.ly/moHNL #cw2009 #
- Luis Aguilar Keynote at Compliance Week 2009. (Compliance Building) http://bit.ly/4DOVb #cw2009 #
- Alexandra Wrage on “Vetting Business Partners” (Compliance Building). http://bit.ly/myH5R #cw2009 #
- Live From Compliance Week 2009. http://bit.ly/19f8Jx #cw2009 #
- SEC’s Schapiro says there is “a logic and efficiency that can be achieved between a merger of” SEC and CFTC. http://bit.ly/IXjOu #
- U.S. prosecutors several months away from deciding whether to bring case against Countrywide founder Angelo Mozilo. http://bit.ly/16tVFE #
- Gary Aguirre Claims Settlement With SEC Unraveled Due to His Criticism of Agency. http://bit.ly/w1Xhj #
- SEC Appoints George Canellos Director of NYRO. http://bit.ly/LeEvp #
- Report: SEC’s IG Opens Investigation Into Alleged Staff Misconduct in Mark Cuban Case. http://bit.ly/gFCyD #
- SEC’s Inspector General Provides Update on Internal Madoff Probe. http://bit.ly/DEK85 #
- Canada: Brick Brewing sues founder for alleged ‘wrongs.’ http://bit.ly/wBfNI #
- SEC creates chief operating officer post. http://bit.ly/huvvL #
- SEC Chart: SEC Staff Levels Have Not Kept Pace with Industry Growth. http://bit.ly/Z0OoM #
- Today’s Testimony of SEC Chairman Mary Schapiro Before Senate Subcommittee. http://bit.ly/GFGHG #
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