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Photos and Highlights from Securities Enforcement Forum 2014
Video and photo highlights from Securities Enforcement Forum 2014.
The Debate Over Wall St. Enforcement – NYTimes.com
In October 2013, Mary Jo White, the Securities and Exchange Commission chairwoman, spoke at the Securities Enforcement Forum about a new approach based on the “broken windows” theory of enforcement in which the police pursue minor infractions to send a message about compliance with the law. “We are looking for the ‘broken windows’ in our […]
Wrapping up Securities Enforcement Forum 2014 | Cady Bar the Door
I was lucky enough to spend Tuesday at Bruce Carton’s Securities Enforcement Forum 2014. In three years, it has gone from zero to the preeminent securities enforcement law conference anywhere. I blogged it hurriedly throughout the day, but here are what I think are the most salient points or comments after some reflection. via Wrapping […]
Photos and Highlights from West Coast SEC Directors Roundtable
Photos and highlights from Securities Docket’s West Coast SEC Directors Roundtable.
West Coast SEC Directors Roundtable: Materials and CLE Forms
Materials and CLE Forms for the West Coast SEC Directors Roundtable (May 8, 2014 in San Francisco)
Just 20 Days Until the West Coast SEC Directors Roundtable — Register Now!
Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!
5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)
Five great reasons to attend Securities Enforcement Forum 2014!
Register Now to Attend the West Coast SEC Directors Roundtable! — May 8, 2014 in San Francisco
Please join us in San Francisco on May 8, 2014 for the historic West Coast SEC Directors Roundtable!
The SEC Speaks in 2014: Beware the Data Crunchers — King & Spalding
Even more notable to securities practitioners than the attendance of Mark Cuban at this year’s SEC Speaks event (held in Washington, D.C. on February 21-22, 2014) was the start-to-finish focus of the Enforcement Division on data, data, data. Beginning with Chair Mary Jo White’s kick-off address, and extending throughout the two-day event, the Commission and […]