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Join the Securities Litigation and Enforcement Group on LinkedInDebate Continues on SEC Enforcement Tactics – Risk & Compliance – WSJ
Speaking Friday during a panel on securities enforcement at a conference in New York at Columbia Law School, Mr. Rakoff said civil judicial proceedings before the administrative judges have less due process, no jury and very few limits on evidence, in addition to being played on the SEC’s home turf. via Debate Continues on SEC […]
SEC Defends Administrative Proceedings as ‘Eminently Proper’ | National Law Journal
“There has been some criticism recently of our use of administrative proceedings against unregistered entities and individuals and suggestions that these proceedings are unfair,” Andrew Ceresney, director of the SEC Enforcement Division, said in a speech Friday to the American Bar Association’s Section of Business Law. “I reject that assertion.” Ceresney said: “Our use of […]
SEC may face pressure to ease prosecutorial style – The Deal Pipeline
Securities and Exchange Commission Chair Mary Jo White may face pressure from Republican lawmakers, who next year will control both chambers of Congress, to ease up on her prosecutorial approach to regulating public companies and other securities market players. via SEC may face pressure to ease prosecutorial style – The Deal Pipeline
Securities Docket News Wire for November 21, 2014
Get caught up with the Securities Docket News Wire for November 21, 2014.