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Join the Securities Litigation and Enforcement Group on LinkedInAs FY 2014 Closes, SEC Brings Two Cases Based on Leaked Info From Analysts | Compliance Week
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 […]
Securities Docket News Wire for September 29, 2014
Get caught up with the Securities Docket News Wire for September 29, 2014.
As SEC Enforcement Cases Rise, Big Actions Are Sparse – WSJ
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 […]