‘Enforcement 40’ for 2020
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By Securities Docket on November 3, 2014, 9:11 am
Video and photo highlights from Securities Enforcement Forum 2014.
By Securities Docket on October 27, 2014, 12:43 pm
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 […]
By Securities Docket on October 16, 2014, 7:18 am
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 […]
By Securities Docket on September 16, 2014, 7:35 am
Have you registered yet?
By Securities Docket on May 16, 2014, 7:53 am
Photos and highlights from Securities Docket’s West Coast SEC Directors Roundtable.
By Securities Docket on May 6, 2014, 8:32 pm
Materials and CLE Forms for the West Coast SEC Directors Roundtable (May 8, 2014 in San Francisco)
By Securities Docket on April 18, 2014, 8:50 am
Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!
By Securities Docket on March 14, 2014, 4:24 pm
Five great reasons to attend Securities Enforcement Forum 2014!
By Securities Docket on March 4, 2014, 7:44 am
Please join us in San Francisco on May 8, 2014 for the historic West Coast SEC Directors Roundtable!
By Securities Docket on March 3, 2014, 9:13 am
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 […]