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SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’

SEC Dings Goldman for Inadequate Policies Governing Research ‘Huddles’

By on April 12, 2012, 7:06 pm

SEC files settled AP alleging Goldman lacked adequate policies and procedures for weekly research “huddles.”

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SECs Post-Morrison Study Draws Strong Disappointment from Comm. Aguilar

SECs Post-Morrison Study Draws Strong Disappointment from Comm. Aguilar

By on April 12, 2012, 4:20 pm

SEC Commissioner Aguilar voices “astonishment” at SEC study on Morrison issues.

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Securities Docket News Wire for 2012-04-12

By on April 12, 2012, 1:55 pm

Ex-Fannie Chief Girds for Battle with SEC Over Disclosure http://t.co/RPY3EPLk # Denver man gets probation in NY insider trade case http://t.co/tjiUhN64 # Harbinger Plans SEC Talks: Hedge-Fund Representatives to Discuss Settlement Options http://t.co/AmZ4OXa6 # US Officials Meet With Chamber, Trade Groups Over FCPA Guidance – WSJ Corruption Currents http://t.co/LWF1A0N0 # Securities Class Actions Focus on […]

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US Officials Meet With Chamber, Trade Groups Over FCPA Guidance

US Officials Meet With Chamber, Trade Groups Over FCPA Guidance

By on April 12, 2012, 11:52 am

Top officials at DOJ and SEC meet with U.S. Chamber of Commerce to discuss forthcoming guidance on FCPA enforcement.

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