‘Enforcement 40’ for 2020
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By Securities Docket on June 19, 2015, 11:40 am
How did the SEC staff end up working at the bottom of a swimming pool in 1942? The SEC Historical Society has the answer. via SEC in 1942: Everybody into the Pool! | Compliance Week
By Securities Docket on June 19, 2015, 9:00 am
But there’s a more troubling aspect of the current exuberance for technology stocks: the degree to which so many of the popular companies with premium-priced shares promote financial results and measures that exclude their actual costs of doing business. These companies, in effect, highlight performance that is based more on fantasy than on reality. High […]
By Securities Docket on June 19, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for June 18, 2015.
By Securities Docket on June 19, 2015, 8:02 am
The actions show a tendency by the agency to punish compliance officers for violations of an SEC rule, known as 206(4)-7, that requires firms to write and implement compliance programs, according to Mr. Gallagher. As a result, the SEC is “sending a troubling message that CCOs should not take ownership of their firm’s compliance policies […]
By Securities Docket on June 19, 2015, 8:00 am
State Street Corp. provides money-handling services to pension funds and other big investors. The SEC has been investigating the way the company solicited the business of public retirement plans in two states. The company says the issues involve its use of consultants and lobbyists, and political contributions made by a consultant during and after a […]