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Video and photo highlights from Securities Enforcement Forum 2014.
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 […]
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 Securities Docket’s West Coast SEC Directors Roundtable.
Materials and CLE Forms for the West Coast SEC Directors Roundtable (May 8, 2014 in San Francisco)
Please join us May 8, 2014 in San Francisco for the West Coast SEC Directors Roundtable!
Five great reasons to attend Securities Enforcement Forum 2014!
Please join us in San Francisco on May 8, 2014 for the historic West Coast SEC Directors Roundtable!
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 […]