‘Enforcement 40’ for 2020
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By Securities Docket on November 6, 2014, 1:21 pm
In his latest attack on the law he recently called “Dodd-Frankenstein,” SEC Commissioner Daniel S. Gallagher stated that the Dodd-Frank Act has left the Commission spending “much, if not most, of its time and resources for nearly half a decade shoveling manure, in some cases for no discernible purpose whatsoever.” via Gallagher: Dodd-Frank Has SEC […]
By Securities Docket on November 6, 2014, 10:19 am
The SEC will reportedly attempt to distribute the funds from its $602 million insider trading settlement with SAC Capital to the people who were on the other (losing) side of those trades. via SEC Seeks to Distribute $602 Million in SAC Capital Settlement to Investors | Compliance Week.
By Securities Docket on November 6, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for November 5, 2014.
By Securities Docket on November 6, 2014, 8:27 am
… In a recent opinion, U.S. District Judge Jed S. Rakoff mused: “[T]he Court of Appeals invites the SEC to avoid even the extremely modest review it leaves to the district court by proceeding on a solely administrative basis … . One might wonder: from where does the constitutional warrant for such unchecked and unbalanced […]