‘Enforcement 40’ for 2020
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Join the Securities Litigation and Enforcement Group on LinkedInSame Old, Same Old With SEC Budget Process | Compliance Week
Yesterday, the House Appropriations Committee approved a fiscal year 2016 Financial Services Appropriations bill that is eerily similar to the bill Congress passed four years ago — both bills appropriate $222 million less than the SEC requested, freeze the SEC’s budget at the prior year’s level, and prohibit the SEC from drawing upon an important […]
Sand Hill Exchange Founder Accepts Responsibility, Has Feedback for SEC | Compliance Week
In an unusual video “Response to SEC Enforcement Action,” the founder of the Sand Hill Exchange personally accepted responsibility for all wrongdoing by the exchange and offered some constructive criticism and feedback to the SEC. via Sand Hill Exchange Founder Accepts Responsibility, Has Feedback for SEC | Compliance Week
Securities Docket News Wire for June 17, 2015
Get caught up with the Securities Docket News Wire for June 17, 2015.
Why the SEC can’t easily solve Appointments Clause problem with ALJs — On the Case
It seems as though there ought to be an easy way for the Securities and Exchange Commission to stomp out claims that its in-house judges are unconstitutionally appointed through a bureaucratic process, a defense theory that has spread as fast among SEC defendants as viral cute-animal memes on the Internet. But the SEC has so […]