‘Enforcement 40’ for 2020
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By Securities Docket on July 27, 2013, 4:24 pm
The SEC is fighting legislation that would trim government access to personal and corporate e-mail kept for customers by third-party providers, such as Amazon.com Inc. and Yahoo! Inc. Bipartisan legislation requiring agencies to get warrants to access e-mails could have “a significant negative impact” on enforcement efforts, SEC Chairman Mary Jo White said in an […]
By Securities Docket on July 27, 2013, 4:22 pm
Adding to the difficulty in unwinding a large portfolio is this fact: When Wall Street firms get a whiff of trouble at a fund whose holdings they know well, they are known to capitalize by front-running — buying and selling in advance of the fund’s forced trades, increasing its losses as it liquidates. That is […]