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By Securities Docket on October 31, 2014, 2:00 pm
Roderick M. Hills, an influential former SEC Chairman from 1975 to 1977, passed away on October 29, 2014, at the age of 83. via Former SEC Chairman Roderick Hills Passes Away at Age 83 | Compliance Week
By Securities Docket on October 31, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 30, 2014.
By Securities Docket on October 30, 2014, 12:34 pm
A shoebox full of cash, prepaid “burner” cell phones, and dummy email accounts failed to prevent the SEC from uncovering and filing its latest insider trading case, the agency announced last week. via SEC Charges Two Friends With ‘Audacious’ Insider Trading Scheme | Compliance Week.
By Securities Docket on October 30, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 29, 2014.
By Securities Docket on October 30, 2014, 8:29 am
Wall Street’s industry funded watchdog plans to intensify its scrutiny of cybersecurity practices at brokerage firms in 2015 and is hiring technology savvy examiners to help boost its efforts, an official said on Wednesday. via Wall St watchdog to bolster reviews of brokerage cybersecurity | Reuters
By Securities Docket on October 30, 2014, 7:53 am
The Stilwell and Peixoto complaints represent widely-shared skepticism about the constitutionality of the SEC’s administrative proceedings and, pending resolution of the issue by the appellate courts or the Supreme Court itself, the SEC may now find itself routinely having to justify the constitutionality of its in-house courts before district court judges. via There’s No Place […]
By Securities Docket on October 30, 2014, 7:49 am
Whistleblowers provide valuable information to regulators in corporate fraud enforcement cases but the benefits of their involvement come at a cost of prolonged enforcement efforts, new research concludes. via Whistleblower Complaints Lead to Stiffer Penalties – CFO
By Securities Docket on October 29, 2014, 12:21 pm
Australian Securities & Investments Commission Chairman Greg Medcraft stated last week that Australia’s white collar criminal penalties were so weak that “it’s worth breaking the law to do the trade” and that Australia was a “paradise for white-collar criminals.” After a concerned call from the country’s Finance Minister, however, Medcraft quickly “hosed down” his prior […]
By Securities Docket on October 29, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for October 28, 2014.
By Securities Docket on October 29, 2014, 8:46 am
The day Medicare officials began discussing whether to set new coverage limits on a costly new prostate-cancer treatment, the official in charge emailed three colleagues to put a “close hold” on the process. That meant: Keep quiet until an announcement later that month. Yet by the end of that same day, June 7, 2010, shares […]