• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Ankura 480x60
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / SEF

SEF

Highlights from Securities Enforcement Forum 2016

Highlights from Securities Enforcement Forum 2016

By Securities Docket on October 20, 2016, 9:37 pm

Photos and highlights from Securities Enforcement Forum 2016.

Posted in Industry, SD Insider, SEC, Top | Tagged SEF

SEC official says agency on the lookout for public-pension pay-to-play – PE Hub

By Securities Docket on October 17, 2016, 5:22 pm

SEC Director Andrew Ceresney has pay-to-play in mind — and has put public pensions on notice that the agency is watching. The SEC is stepping up its coordination with the FBI and U.S. Attorney’s Office as it looks into pay-to-play schemes involving public pensions, Ceresney said at the Securities Enforcement Forum in Washington last week. via […]

Posted in Uncategorized | Tagged Public finance, SEF

Don't Miss Out! Register Now for Securities Enforcement Forum 2016

Don’t Miss Out! Register Now for Securities Enforcement Forum 2016

By Securities Docket on September 12, 2016, 5:12 pm

Securities Enforcement Forum 2016 is on October 13, 2016!

Posted in Industry, Top | Tagged SEF

Top Five Reasons (and One Bonus Reason!) to Register Now for Securities Enforcement Forum 2015!

Top Five Reasons (and One Bonus Reason!) to Register Now for Securities Enforcement Forum 2015!

By Securities Docket on October 16, 2015, 7:34 am

Securities Enforcement Forum 2015 is on Nov. 4, 2015. Register now!

Posted in Criminal, Industry, SD Insider, SEC, Top | Tagged SEF

Photos and Highlights from Securities Enforcement Forum 2014

Photos and Highlights from Securities Enforcement Forum 2014

By Securities Docket on November 3, 2014, 9:11 am

Video and photo highlights from Securities Enforcement Forum 2014.

Posted in Industry, People, SD Insider, Top | Tagged Conferences, Hall of Fame, SEF

SEC’s Piwowar: ‘If Every Rule is a Priority, Then No Rule is a Priority’ | Compliance Week

By Securities Docket on October 16, 2014, 10:45 am

Almost exactly one year after SEC Chair Mary Jo White’s “Broken Windows” speech, SEC Commissioner Michael Piwowar took issue with that strategy in a speech of his own, stating that “if every rule is a priority, then no rule is a priority.” via SEC’s Piwowar: ‘If Every Rule is a Priority, Then No Rule is […]

Posted in SEC, Top | Tagged Broken Windows, Commissioners, SEF

SEC Official: Company Reforms Can Make Monitorships Unneccesary – Risk & Compliance – WSJ

By Securities Docket on October 16, 2014, 7:20 am

Companies that discover corruption issues might do well to clean up their act before they make disclosures to the government. Current and former officials say authorities have become more reluctant to impose outside watchdogs — known as monitorships — when companies can show they’ve already reformed the policies that allowed misconduct to occur. via SEC […]

Posted in Criminal, SEC, Top | Tagged Monitors, SEF

Wrapping up Securities Enforcement Forum 2014 | Cady Bar the Door

By Securities Docket on October 16, 2014, 7:18 am

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 […]

Posted in SEC, Top | Tagged Conferences, SEF

Just One Month Until Securities Enforcement Forum 2014!

Just One Month Until Securities Enforcement Forum 2014!

By Securities Docket on September 16, 2014, 7:35 am

Have you registered yet?

Posted in SD Insider, SEC | Tagged Conferences, SEF

5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

5 Great Reasons to Attend Securities Enforcement Forum 2014 (Oct. 14, 2014 in D.C.)

By Securities Docket on March 14, 2014, 4:24 pm

Five great reasons to attend Securities Enforcement Forum 2014!

Posted in Industry, SD Insider, SEC, Top | Tagged Conferences, SEF

Next »

Subscribe

‘Enforcement 40’ for 2020

Ankura 260x250

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2022 Securities Docket.

Powered by WordPress and Hybrid.