‘Enforcement 40’ for 2020
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By Securities Docket on April 6, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for April 5, 2015.
By Securities Docket on April 6, 2015, 8:35 am
The SEC rule requires no such thing: Dodd-Frank prohibits retaliation against whistleblowers, and the SEC rule says companies can’t “take any action to impede” whistleblowing by, for example, enforcing a confidentiality agreement against a whistleblower. But the rule doesn’t say that whenever you have a confidentiality agreement, you have to tell employees that federal law […]
By Securities Docket on April 6, 2015, 8:26 am
Preet Bharara has a difficult decision. Late last week the full Second Circuit Court of Appeals rejected his request for an en banc rehearing of his defeat on insider-trading cases, so the U.S. Attorney now has two choices. He can cut his losses and accept that more of his unjust prosecutions will be overturned. Or […]