‘Enforcement 40’ for 2020
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By Securities Docket on December 20, 2013, 1:34 pm
In other words, our ban on insider trading isn’t really about protecting investors or making markets function better. It’s about expressing a moral view, much like we do with Blue Laws that ban the sale of alcohol on Sundays. There’s nothing necessarily wrong with encoding morality into securities laws. But should Steinberg really be facing […]
By Securities Docket on December 20, 2013, 12:11 pm
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By Securities Docket on December 20, 2013, 8:55 am
Get caught up with the Securities Docket News Wire for December 19, 2013.
By Securities Docket on December 20, 2013, 7:53 am
After many months of investigating the roles of Goldman Sachs, Wells Fargo and Standard & Poor’s in troubled mortgage securities — and even warning the companies that enforcement actions were possible — the S.E.C. closed or shelved these cases and at least two others. While these outcomes have been known, the reasoning behind the decisions […]