‘Enforcement 40’ for 2020
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By Securities Docket on December 31, 2016, 9:58 am
The Securities and Exchange Commission voted to approve the 2017 budget of the Public Company Accounting Oversight Board (PCAOB) and the related annual accounting support fee. The budget totals $268.5 million and will be funded by the collection of an accounting support fee. The board is a nonprofit corporation established by Congress to protect investors […]
By Securities Docket on December 31, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for December 30, 2016.
By Securities Docket on December 30, 2016, 10:10 am
The vulnerability of law firms to cyberattacks, already one of the big legal stories of 2016, is back in the news now that a judge has unsealed a class action lawsuit alleging the firm Johnson & Bell doesn’t adequately protect client information from hackers. In-house counsel say the lawsuit is a good reminder of the […]
By Securities Docket on December 30, 2016, 10:06 am
It may be hard for the U.S. Supreme Court to turn this one down. Tuesday’s decision by the U.S. Court of Appeals for the Tenth Circuit declaring that the way the SEC appoints Administrative Law Judges violates the Constitution sets up a clean split among the circuits and may implicate the validity of administrative proceedings […]
By Securities Docket on December 30, 2016, 10:05 am
He pauses and adds, “As much hell as I went through, if the system works as I have every reason to believe it does, it will be even more hell for them, given the severity of their misconduct.” The primary target of Ganek’s ire is Preet Bharara, the powerful U.S. Attorney for the extremely powerful […]
By Securities Docket on December 30, 2016, 10:02 am
President-elect Donald Trump once said that a landmark US anti-bribery law put American companies “at a huge disadvantage” in foreign markets, but prosecutors are unlikely to go easy on companies using illicit favours to win business once he is inaugurated. The US Department of Justice in 2016 marked a record year for enforcement of the […]
By Securities Docket on December 30, 2016, 8:55 am
Get caught up with the Securities Docket News Wire for December 29, 2016.
By Securities Docket on December 29, 2016, 10:49 am
With SEC Chair Mary Jo White’s announcement that she will step down at the same time President Barack Obama leaves office in January, there has been much speculation about whether Chair White’s policy of pursuing minor, “broken windows” type violations will be turfed out. via Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and […]
By Securities Docket on December 29, 2016, 10:40 am
The U.S. Court of Appeals for the 10th Circuit has bestowed a holiday gift on all of us administrative law nerds (especially for those who should be grading exams). Today, in Bandimere v. SEC, a divided panel held that the Securities and Exchange Commission’s administrative law judges (ALJs) are unconstitutional. Judge Matheson wrote for the court, joined by […]