‘Enforcement 40’ for 2020
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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 […]