‘Enforcement 40’ for 2020
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By Securities Docket on June 30, 2013, 10:22 am
My picks for the most interesting recent columns and blog posts from around the web on the subjects of SEC enforcement and securities litigation, including the prospect of a specialized unit for financial fraud at the SEC, why auditors do not find fraud, and why hedge funds should take careful note of the conviction of […]
By Securities Docket on June 30, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for June 29, 2013.
By Securities Docket on June 29, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for June 28, 2013.
By Securities Docket on June 28, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for June 27, 2013.
By Securities Docket on June 28, 2013, 8:06 am
Two Securities and Exchange Commission hopefuls told lawmakers today that they support ending enforcement settlements that allow targets to avoid admitting or denying the charges. In a Senate Banking Committee hearing on their nominations, Kara Stein and Michael Piwowar said the SEC should be more flexible in its settlement model. Currently, the SEC allows parties […]
By Securities Docket on June 27, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for June 26, 2013.
By Securities Docket on June 27, 2013, 8:19 am
President Barack Obama’s nominees for the Securities and Exchange Commission are expected to sail through a Senate confirmation hearing on Thursday thanks in part to a key line on their résumés: Senate aide. Kara Stein and Mike Piwowar, nominated to fill out the remainder of five-year terms as commissioners, are set to testify before the […]
By Securities Docket on June 27, 2013, 8:12 am
Securities and Exchange Commission enforcement chiefs have drawn up a hit list of impending cases where officials intend to test their new policy of requiring admissions of wrongdoing when settling civil charges, according to people close to the agency. The handful of likely target cases include a planned enforcement action against a company alleged to […]
By Securities Docket on June 26, 2013, 11:01 am
U.S. officials are investigating whether hedge-fund titan Steven A. Cohen purposely avoided learning about alleged criminal activity at his firm and, if so, whether that behavior could form an element of any charges against him, according to people familiar with the matter. via Authorities Investigating SAC Capital Are Considering a ‘Willful Blindness’ Approach – WSJ
By Securities Docket on June 26, 2013, 10:44 am
The breadth of rules that any SEC enforcement staff member potentially has to cover is truly staggering. The arcana of the Investment Management Division are quite different from the arcana of the Trading & Markets and Corporation Finance Divisions, but at different times the enforcement staff have to be conversant in all of it. A […]