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Join the Securities Litigation and Enforcement Group on LinkedInThe Debate Over Wall St. Enforcement – NYTimes.com
In October 2013, Mary Jo White, the Securities and Exchange Commission chairwoman, spoke at the Securities Enforcement Forum about a new approach based on the “broken windows” theory of enforcement in which the police pursue minor infractions to send a message about compliance with the law. “We are looking for the ‘broken windows’ in our […]
Securities Docket News Wire for October 26, 2014
Get caught up with the Securities Docket News Wire for October 26, 2014.
Rengan Rajaratnam Settlement Exposes Slightly Weak Point in SEC’s Newish Admissions Policy | Cady Bar the Door
Anyway, I thought that until I read this quote from Rajaratnam’s lawyer, Daniel Gitner: “The S.E.C. elected to offer, and Rengan elected to accept, a no admit/no deny settlement. Rengan is moving on to the next phase of his life. If the S.E.C. has further comment, so will we.” Gitner was right to make this […]