‘Enforcement 40’ for 2020
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By Securities Docket on November 13, 2014, 4:14 pm
… Here, a trader who bought shares in the two pharmaceutical companies at issue would either be a victim or not a victim based on who the counter-party was on particular days – in faceless, electronic transactions. If they were lucky enough to have been matched with CR Intrinsic, they win a piece of the […]
By Securities Docket on November 13, 2014, 9:03 am
The SEC’s plan to bring more enforcement actions as administrative proceedings before its own administrative law judges rather than in the federal district courts — even in insider trading cases — has been drawing increasing criticism and legal challenges. Most recently, Judge Jed Rakoff of the U.S. District Court for the Southern District of New York questioned the SEC’s use of administrative proceedings […]