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Browse: Home / SEC

SEC

Remember Enron? It Could Happen Again on Biden’s Watch

By Securities Docket on December 24, 2020, 11:17 am

There are several relatively straightforward steps the Biden administration could take. They involve the Securities and Exchange Commission (SEC) and the Public Company Accounting Oversight Board (PCAOB). Some would require legislation, and some assume the new administration can muster a working majority at the SEC. But to really make a difference, the Biden administration will […]

Posted in Industry, SEC, Top, Uncategorized | Tagged Biden, PCAOB, SEC

Mar. 1 Webcast: SEC Enforcement -- Current Developments and What’s Ahead for 2019

Mar. 1 Webcast: SEC Enforcement — Current Developments and What’s Ahead for 2019

By Securities Docket on February 13, 2019, 11:17 am

Please join Bill McLucas, Doug Davison, Marty Wilczynski and Steve Richards for this free webcast.

Posted in Industry, SEC, Top | Tagged Enforcement, Reviews, SEC, Webcasts

Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

Dec. 3 Webcast: What Should Crypto Funds Expect From The SEC Going Forward?

By Securities Docket on November 13, 2018, 9:28 pm

Please join Boris Richard, Jeff Bandman, Ivana Rouse and Peter Altman for this free webcast.

Posted in Industry, Top | Tagged Cryptocurrency, SEC, Webcasts

SEC Charges Longtime Madoff Employee with Falsifying Documents to Deceive Regulators

SEC Charges Longtime Madoff Employee with Falsifying Documents to Deceive Regulators

By Securities Docket on December 21, 2011, 2:12 pm

SEC alleges long-time Madoff employee assisted in falsifying internal accounting records, deceived regulators.

Posted in SEC, Top | Tagged Bernard Madoff, SEC

Citing Madoff, Judge Slams SEC for ‘Relentless’ Pursuit of Legitimate Company

By Securities Docket on August 5, 2009, 4:28 pm

Law.com reports that the judge in the SEC’s Merchant Capital case says the agency’s pursuit came while “studiously ignoring Bernard Madoff and the largest Ponzi scheme in American history.”

Posted in SEC | Tagged Madoff, SEC

Reserve Management Co. Announces Possible SEC Enforcement Action Against Co. and Three Execs

By Securities Docket on December 24, 2008, 6:50 am

Reserve Management Company, Inc. announced yesterday that on December 18, 2008, the staff of the SEC’s Division of Enforcement informed RMCI of the staff’s intention to recommend that the SEC bring an enforcement action against RMCI alleging violations of certain provisions of the federal securities laws. In addition, the staff also intends to recommend enforcement […]

Posted in SEC | Tagged SEC, Wells Notice

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