Archives by date

You are browsing the site archives by date.

Stacking the Deck: SEC’s Use of Administrative Proceedings | Corruption, Crime & Compliance

By Securities Docket on July 30, 2014, 2:45 pm

The SEC has a real perception problem. They cannot win in court. Whether this is fair or not, the SEC needs to move beyond this fear of losing since it only undermines the integrity of its enforcement program. via Stacking the Deck: SEC’s Use of Administrative Proceedings | Corruption, Crime & Compliance

Posted in SEC, Top | Tagged APs

Seeking Nominations for Securities Docket’s Inaugural ‘Enforcement Hall of Fame’ Class

By Securities Docket on July 30, 2014, 9:24 am

Securities Docket welcomes your nominations for our inaugural “Enforcement Hall of Fame” class – for extraordinary contributions to the field of securities enforcement over a lifetime.

Posted in Industry