‘Enforcement 40’ for 2020
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By Securities Docket on July 10, 2015, 10:59 am
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.
By Securities Docket on July 10, 2015, 9:00 am
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 […]
By Securities Docket on July 10, 2015, 8:58 am
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 […]