‘Enforcement 40’ for 2020
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By Securities Docket on September 12, 2013, 9:16 am
The SEC has named Jina L. Choi as the new Director of its San Francisco office. Choi, a 13-year veteran of the agency, fills the vacancy created in April 2013 when the previous Director, Marc Fagel, left to join law firm Gibson Dunn. via SEC Names Jina Choi to Lead San Francisco Office – Compliance […]
By Securities Docket on September 12, 2013, 8:30 am
Get caught up with the Securities Docket News Wire for September 11, 2013.
By Securities Docket on September 12, 2013, 7:56 am
The SEC is now pushing Congress to double its existing five-year time limit (applicable to Foreign Corrupt Practices Act offenses and many others) to ten years. Senator Jack Reed (D-RI), a high-ranking member of the Senate Banking Committee, reportedly intends to introduce legislation this fall. But the SEC already has several arrows in its quiver, such […]
By Securities Docket on September 12, 2013, 7:54 am
The SEC’s new whistleblower bounty program has provoked significant controversy. That controversy has centered on the failure of the implementing rules to make internal reporting through corporate compliance departments a prerequisite to recovery. This Article approaches the new program with a broader lens, examining its impact on the longstanding debate over fraud-on-the-market (FOTM) class actions. […]
By Securities Docket on September 12, 2013, 7:43 am
Securities regulators are realigning their enforcement units. Andrew Ceresney, the new co-head of enforcement for the U.S. Securities and Exchange Commission, said Wednesday the agency is looking more closely at half a dozen areas, including complex securities, financial reporting fraud, microcap fraud, market structure and implementation of new rules. via SEC’s Enforcement Unit Changes Tack […]