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SEC Enforcement: Is the Swagger Back? — SEC ACTIONS

By Securities Docket on October 14, 2013, 10:31 am

The swagger is back according to SEC enforcement officials. Presumably that comment is meant to say that an enforcement program which once was viewed as among the best in government has returned to that rarified echelon. To be sure there is a lot of positive buzz about the program. New Chair Mary Joe White has […]

Posted in SEC | Tagged Speeches, Web Watch

New York lawyers generally cannot seek bounties under Dodd-Frank, says New York Ethics Committee – Proskauer

By Securities Docket on October 14, 2013, 10:29 am

The New York County Lawyers Association Committee on Professional Ethics released Formal Opinion 746 on October 7, in which the Committee considered whether New York lawyers can ethically collect bounties for submitting confidential information about their clients under the whistleblower provisions of the Dodd-Frank Act. According to the Formal Opinion, New York lawyers may not […]

Posted in Industry, Top | Tagged Bounties, Ethics