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By Securities Docket on September 30, 2014, 3:10 pm
In two cases filed this week as the SEC’s fiscal year 2014 comes to a close, the SEC delivered a sharp reminder to financial analysts (and their friends!) that market-moving ratings changes by financial institutions need to remain confidential until they are publicly announced. via As FY 2014 Closes, SEC Brings Two Cases Based on […]
By Securities Docket on September 30, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for September 29, 2014.
By Securities Docket on September 30, 2014, 8:00 am
Mary Jo White will end her first full fiscal year running the Securities and Exchange Commission able to claim an increase in its annual tally of cases, the first year-over-year rise since 2011, according to people close to the agency. It is an important benchmark for the SEC chairman, a former federal prosecutor who promised […]