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Records

SEC’s Khuzami: Probes Not Hurt By Record Destruction

SEC’s Khuzami: Probes Not Hurt By Record Destruction

By Securities Docket on September 15, 2011, 2:09 am

Enforcement director says agency not harmed by past policy of discarding records, still has “significant information” stored.

Posted in SEC, Top | Tagged Investigations, Records

SEC Officials Are Focus of Inquiry

SEC Officials Are Focus of Inquiry

By Securities Docket on August 25, 2011, 12:08 pm

SEC’s IG reportedly probing whether enforcement officials misled archives agency last year regarding destruction of records.

Posted in SEC, Top | Tagged Inspector General, Records

File Disposal Still an Issue for S.E.C.

File Disposal Still an Issue for S.E.C.

By Securities Docket on August 19, 2011, 12:08 pm

National Archives and Records Administration says SEC has yet to agree with it on which records to keep and which to discard.

Posted in SEC, Top | Tagged Records, Regulators

S.E.C. Illegally Destroyed Documents, Whistle-Blower Alleges

S.E.C. Illegally Destroyed Documents, Whistle-Blower Alleges

By Securities Docket on August 18, 2011, 12:08 pm

Whistleblower claims SEC destroyed records of MUIs.

Posted in SEC, Top | Tagged Records, US Congress

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