‘Enforcement 40’ for 2020
Join Us On LinkedIn
Join the Securities Litigation and Enforcement Group on LinkedIn
You are browsing the site archives by date.
By Securities Docket on August 2, 2019, 10:22 am
Chen, along with his co-authors Lauren Cohen of Harvard Business School, Umit Gurun of the University of Texas at Dallas, Dong Lou of the London School of Economics and Christopher Malloy of Harvard Business School, identified which corporate insiders were being tracked based on what trading information portfolio managers downloaded off the site. Using the […]
By Securities Docket on August 2, 2019, 10:20 am
Until recently, those seeking to settle an action with the SEC were required to pursue two distinct tracks: resolution of a pending investigation negotiated with the SEC’s Division of Enforcement, and waiver of potential collateral consequences negotiated with the SEC’s Divisions of Corporate Finance and/or Investment Management (or SEC staff under delegated authority). The processes […]