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By Securities Docket on January 29, 2015, 5:19 pm
The Securities and Exchange Commission today announced that Robert E. Rice, Chief Counsel to Chair Mary Jo White, will leave the agency at the end of February. via Robert E. Rice, Chief Counsel to SEC Chair, to Leave SEC — SEC Press Release
By Securities Docket on January 29, 2015, 9:39 am
The SEC has named Erin Schneider, a 10-year veteran of the SEC’s San Francisco office, as Associate Regional Director. Schneider will lead the San Francisco office’s enforcement efforts for Northern California and the Pacific Northwest. via SEC’s Erin Schneider Named Associate Regional Director in San Francisco | Compliance Week
By Securities Docket on January 29, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for January 28, 2015.
By Securities Docket on January 29, 2015, 8:02 am
U.S. prosecutors said they are prepared to drop charges against five men accused of engaging in insider trading ahead of an IBM Corp acquisition, citing a major appellate court ruling limiting authorities’ abilities to pursue such cases. In an unusual letter late Wednesday, prosecutors under Manhattan U.S. Attorney Preet Bharara asked U.S. District Judge Andrew […]