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Judge Rakoff Tees Up a Major Battle on the SEC’s Standard Settlement Language and Procedures
Judge Rakoff has ordered the SEC and Citigroup to answer nine extremely difficult questions at a hearing on November 9.
Securities Docket News Wire for Oct. 28, 2011
Get caught up with the Securities Docket News Wire for Oct. 28, 2011.
SFO Charges Two More In Innospec Probe
Former execs of Associated Octel Corp. (which was later renamed Innospec) charged with conspiracy to corrupt.
SEC accuses FINRA of altering internal documents
SEC claims FINRA altered internal documents before handing them over to agency.
SEC Enforcers Frozen as Watchdog Unleashes Probes
At SEC, “backlash” grows against agency’s aggressive IG.
“Every bloody Indian co-operated” to nail me: Raj
Rajaratnam complains that fellow Indians cooperated against him.
Guest Column: The Longer Arm of the Law in New York
In this guest column, Steptoe’s Matthew J. Gaul, Douglas S. Kantor and Philip S. Khinda explain the impact of new competing regulatory regimes in New York.