‘Enforcement 40’ for 2020
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By Securities Docket on July 9, 2015, 1:06 pm
To the progressive left, Mr. [Keir] Gumbs is guilty of practicing securities law on behalf of private enterprises. Since his job as commissioner would involve applying and enforcing securities law, one might view this as relevant and even useful experience. But the new Warren standard is to demand market regulators who come to the job […]
By Securities Docket on July 9, 2015, 12:06 pm
Sen. Elizabeth Warren and activist groups with which she is aligned have reportedly derailed President Obama’s plan to nominate a corporate lawyer for a soon-to-be open Democratic seat on the Commission. via Sen. Warren and ‘Liberal Allies’ Derail Planned SEC Nomination | Compliance Week.
By Securities Docket on July 9, 2015, 10:40 am
The NYSE’s posture is disconcerting to say the least. No matter what caused the NYSE trading halt (cyberattack, bad leaver, software glitch, configuration difficulty, coding disruption or otherwise), it is not wise to rule out a cyberattack without first conducting an independent, truth-seeking investigation. And stating that the WSJ and United data breaches were not […]