‘Enforcement 40’ for 2020
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By Securities Docket on November 20, 2014, 3:54 pm
As also happened with recent natural disasters such as Hurricane Katrina and Hurricane Sandy, the Ebola outbreak that has captured the attention of the American public has become a possible tool of scam artists. via SEC Halts Trading in Four Microcap Cos., Warns Investors About Ebola Scams | Compliance Week
By Securities Docket on November 20, 2014, 8:55 am
Get caught up with the Securities Docket News Wire for November 19, 2014.
By Securities Docket on November 20, 2014, 8:43 am
Please join F. Joseph Warin, John W.F. Chesley and Erika Kelton for this free webcast.
By Securities Docket on November 20, 2014, 8:01 am
The Securities and Exchange Commission adopted new rules on Wednesday to keep exchanges and so-called “dark pools” safer by requiring more safeguards — a shift that will put more regulation on high-frequency trading platforms. via Flash Boys beware: SEC chills high-frequency trading | New York Post
By Securities Docket on November 20, 2014, 8:00 am
Regardless of the motivations of individual whistleblowers and the deluge of press coverage that will result from the SEC’s report, the key takeaways for companies trying to do the right thing are relatively simple. Here are seven steps to help companies focus. via 7 Steps for Managing SEC Whistleblower Risk | Corporate Counsel