‘Enforcement 40’ for 2020
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By Securities Docket on November 11, 2014, 11:01 am
On November 10, 2014, the U.S. Supreme Court declined to hear hedge fund manager Douglas Whitman’s appeal of his August 2012 conviction for insider trading. In an accompanying statement, however, Justice Scalia wrote that Congress, not the SEC, must define crimes such as insider trading. via Justice Scalia: Congress, Not SEC, Must Define Insider Trading […]
By Securities Docket on November 11, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for November 10, 2014.
By Securities Docket on November 11, 2014, 8:21 am
The municipal market should expect increased attention from the Securities and Exchange Commission’s enforcement division, with a focus on pension fund abuses and pay to play violations, and undisclosed conflicts of interest, the SEC’s top cop said Monday. via SEC s Top Cop: More Muni Enforcement, Not Less – The Bond Buyer