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Browse: Home / Policy

Policy

SEC Chief Gary Gensler Picks Top Labor Union Official for Policy Role – WSJ

By Securities Docket on April 20, 2021, 7:57 am

Gary Gensler, the new chief of the Securities and Exchange Commission, on Monday tapped a labor-union investment official as his policy director, raising expectations that the agency will embrace progressive policy goals. Mr. Gensler, who was sworn in on Saturday, picked Heather Slavkin Corzo for the top policy role in his office. The hire suggests […]

Posted in People, SEC, Top | Tagged Policy

The SEC’s New ‘Admit Liability’ Policy Will Hurt Everyone Except Plaintiff Lawyers – Forbes

By Securities Docket on July 4, 2013, 8:35 am

It’s hard to argue with a regulatory agency seeking more flexible penalties for carrying out a regulatory mandate. But the approval with which SEC watchers generally greeted the policy may be premature, for it’s not likely to further SEC enforcement objectives. On the one hand,  this may little more than a cosmetically deft finesse of […]

Posted in Class Actions, SEC | Tagged Policy, Settlements, Web Watch

SEC nominees back ending ‘no admit no deny’ settlements — InvestmentNews

By Securities Docket on June 28, 2013, 8:06 am

Two Securities and Exchange Commission hopefuls told lawmakers today that they support ending enforcement settlements that allow targets to avoid admitting or denying the charges. In a Senate Banking Committee hearing on their nominations, Kara Stein and Michael Piwowar said the SEC should be more flexible in its settlement model. Currently, the SEC allows parties […]

Posted in SEC, Top | Tagged Commissioners, Policy

SEC Set to Test Policy for Guilt Admissions — Dow Jones Business News

By Securities Docket on June 27, 2013, 8:12 am

Securities and Exchange Commission enforcement chiefs have drawn up a hit list of impending cases where officials intend to test their new policy of requiring admissions of wrongdoing when settling civil charges, according to people close to the agency. The handful of likely target cases include a planned enforcement action against a company alleged to […]

Posted in SEC, Top | Tagged Policy, Settlements

SEC Buys Itself a Headache — Cady Bar the Door

By Securities Docket on June 20, 2013, 10:19 am

I do applaud the Commission for taking a whack at tweaking the policy.  It is probably healthy for any organization to take external criticism seriously and re-think old policies that may have outlived their usefulness.  But I am pretty skeptical about the breadth of what White announced yesterday.  She says this will be an “incremental” […]

Posted in SEC | Tagged Policy, Settlements, Web Watch

SEC to Require Admissions of Wrongdoing in Settlements of Most Egregious Cases – Compliance Week

By Securities Docket on June 19, 2013, 11:46 am

The SEC made some news yesterday at the Wall Street Journal CFO Network conference, as Chairman Mary Jo White announced that the agency will now begin requiring admissions of wrongdoing from defendants in its enforcement actions in certain circumstances. The announcement is a significant change in course from the SEC’s long-standing–and increasingly criticized–policy of allowing defendants […]

Posted in SEC, Top | Tagged Policy, Settlements

SEC to Seek More Admissions of Fault – WSJ

By Securities Docket on June 19, 2013, 9:13 am

The Securities and Exchange Commission intends to make companies and individuals admit wrongdoing as a condition of settling civil charges in certain cases, or be forced to fight the charges in court, the agency’s Chairman Mary Jo White said Tuesday. The move marks a watershed change to the SEC’s decades-old policy of allowing companies and […]

Posted in SEC, Top | Tagged Policy, Settlements

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