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Join the Securities Litigation and Enforcement Group on LinkedInThe Return of ‘Decimal Dust’ and the SEC Penalties Act | Compliance Week
Three years later, Sen. Chuck Grassley is re-introducing the SEC Penalties Act of 2012 — and dusting off some old quotes. via The Return of ‘Decimal Dust’ and the SEC Penalties Act | Compliance Week.
Presidential Candidate O’Malley Unleashes Wall Street Crackdown Manifesto — ThinkAdvisor
Presidential candidate Martin O’Malley issued a 10-page manifesto Thursday promising tougher regulations on Wall Street to help prevent another financial crash, including instituting a “revolving door” ban at regulatory agencies as well as requiring the Securities and Exchange Commission’s enforcement director to be a presidential nominee and doubling the agency’s budget. via Presidential Candidate O’Malley […]
SEC’s ‘administrative proceedings’ enforcements dwarf court cases in 2015 — Reuters
According to public data on the SEC’s site, there have been 447 administrative proceedings through June 23rd of this year, compared with 123 court cases, representing 78 percent of all enforcement actions. The result is in line with the same percentage in 2014, and up from 62 percent in 2013. In 2010, the year the Dodd-Frank reform […]
Securities Docket News Wire for July 9, 2015
Get caught up with the Securities Docket News Wire for July 9, 2015.