‘Enforcement 40’ for 2020
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By Securities Docket on September 11, 2014, 4:20 pm
In a stinging dissent, SEC Commissioner Daniel Gallagher wrote late last month that a new SEC rule governing rating agencies has established a “thoughtcrime.” via SEC Commissioner Says New Rating Agency Rule Creates a ‘Thoughtcrime’ | Compliance Week
By Securities Docket on September 11, 2014, 9:25 am
Andrew Ceresney, the SEC’s head of enforcement, on Wednesday charged 34 people and companies a total of $2.6 million for generally low-level violations — like failing to timely file stock ownership forms. The actions are the latest in the agency’s “broken windows” approach to policing the markets — that is, enforcing even the most basic […]
By Securities Docket on September 11, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for September 10, 2014.
By Securities Docket on September 11, 2014, 7:18 am
SeaWorld Entertainment is in more hot water. The company has been hit with a shareholder lawsuit accusing it of misleading investors about the impact of last year’s “Blackfish” documentary on attendance and mistreating its famed killer whales. via SeaWorld sued by shareholders over ‘Blackfish’ scandal | New York Post