‘Enforcement 40’ for 2020
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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 […]
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.
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.
By Securities Docket on December 21, 2011, 2:12 pm
SEC alleges long-time Madoff employee assisted in falsifying internal accounting records, deceived regulators.
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.”
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 […]