Subscribe
‘Enforcement 40’ for 2020
Our Sponsors
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedInSEC targets companies who use made-up accounting metrics – MarketWatch
The Securities and Exchange Commission is taking another step to crack down on corporate use of numbers that the agency fears deceives investors. The SEC’s Division of Corporation Finance is forming an internal task force to closely review the use of “non-GAAP” numbers and whether companies respond to recently updated guidance on using these metrics. […]
Ex-Barclays banker accused by U.S. of illegal tips to plumber | Reuters
According to the complaint, McClatchey began tipping the Long Island-based plumber, a friend, in 2013, enabling him to execute trades ahead of merger announcements involving 11 companies, including Forrest Oil Corp and PetSmart Inc. In exchange, the plumber made thousands of cash payments to McClatchey, in some instances placing cash in a gym bag that […]
Highlights from Securities Enforcement Forum West 2016
Photos and highlights from Securities Enforcement Forum West 2016.
Securities Docket News Wire for May 29, 2016
Get caught up with the Securities Docket News Wire for May 29, 2016.
SEC: Cybersecurity now biggest risk facing financial system | Compliance Week
In an interview on May 17, SEC Chair Mary Jo White made an eye-opening comment about cybersecurity. Cybersecurity, she stated, is now the “biggest risk facing the financial system.” via SEC: Cybersecurity now biggest risk facing financial system | Compliance Week
Securities Docket News Wire for May 28, 2016
Get caught up with the Securities Docket News Wire for May 28, 2016.
Securities Docket News Wire for May 27, 2016
Get caught up with the Securities Docket News Wire for May 27, 2016.
Some (minor) movement in SEC nominations of Fairfax and Peirce | Compliance Week
It wasn’t much, but given the complete lack of movement in the languishing nominations of Hester Peirce and Lisa Fairfax to be SEC commissioners, we’ll take it. On Thursday, May 19, the U.S. Senate Banking Committee finally voted to advance the nominations of Peirce and Fairfax to the full Senate for a vote. via Some […]
Securities Docket News Wire for May 26, 2016
Get caught up with the Securities Docket News Wire for May 26, 2016.
Enforcement Discretion at the SEC by David T. Zaring :: SSRN
This article evaluates the SEC’s new ALJ policy both qualitatively and quantitatively, offering an in-depth perspective on how formal adjudication – the term for the sort of adjudication over which ALJs preside – works today. It argues that the suits challenging the SEC’s ALJ routing are without merit; agencies have almost absolute discretion as to […]