‘Enforcement 40’ for 2020
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By Securities Docket on August 23, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 22, 2015.
By Securities Docket on August 22, 2015, 1:19 pm
The SEC is understandably loath to file subpoena enforcement actions. Such actions are basically a waste of time and resources, and involve getting a court to order people to do what they are already required to do. Sometimes, however, the SEC has no choice but to wield the “stick” of subpoena enforcement when people simply […]
By Securities Docket on August 22, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 21, 2015.
By Securities Docket on August 21, 2015, 5:44 pm
The board of directors at construction and engineering company Parsons Corp. needed to fill a seat two years ago. Naturally, they wanted someone with communication and leadership skills. They also needed someone new: an expert to help them battle computer hackers, cyberthieves, electronic spies, digital vandals and anybody else out to wreak havoc in a […]
By Securities Docket on August 21, 2015, 9:35 am
Even a Commission confident in its arguments needs to consider how to proceed in a way that minimizes chaos if it loses. What could it do now to protect against that future result? Two steps immediately come to mind…. via What Is the SEC Backup Plan if It Loses the ALJ Constitutionality Issue in Court? […]
By Securities Docket on August 21, 2015, 9:29 am
The federal securities laws require public companies to make and keep detailed and accurate “books, records, and accounts.” One might assume that a securities law relating to books and records covers materials used in the preparation of financial statements. But in practice, the U.S. Securities and Exchange Commission applies a much broader definition that seems […]
By Securities Docket on August 21, 2015, 8:55 am
Get caught up with the Securities Docket News Wire for August 20, 2015.
By Securities Docket on August 20, 2015, 6:29 pm
A Pennsylvania pastor who was arrested last Tuesday for his alleged involvement in what the FBI has called the largest known computer hacking and securities fraud scheme — that yielded some $30 million in illegal profits — told his congregation Sunday that he was innocent, and that “I know in my heart I am clean […]
By Securities Docket on August 20, 2015, 6:20 pm
Wachtell fleshed out its mention of British shareholder litigation against the company with a bunch of exhibits detailing how three prominent members of the U.S. shareholder bar – Scott & Scott, Grant & Eisenhofer and Kessler Topaz Meltzer & Check – are devoting their time and effort to litigating abroad on behalf of Tesco shareholders […]