‘Enforcement 40’ for 2020
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By Securities Docket on May 7, 2013, 4:53 pm
SEC chair says policy is “among the many things I am reviewing as the new chair.”
By Securities Docket on September 15, 2011, 12:09 pm
SEC chair to testify twice before Congress in the next two weeks.
By Securities Docket on December 14, 2009, 9:39 am
Enforcement Director Khuzami testified Friday about widening scope of investigation.
By Securities Docket on September 11, 2009, 1:00 pm
Court orders Scrushy must submit to sworn testimony on his financial assets.
By Securities Docket on March 12, 2009, 6:42 am
In her testimony yesterday before the House Subcommittee on Financial Services, SEC Chairman Mary Schapiro told Congress that for the first time, the SEC is considering offering cash bounties to private sector whistleblowers who help expose financial wrongdoing. The SEC’s current “bounty” program applies only to insider trading cases, not financial fraud. “Right now, the […]
By Securities Docket on March 11, 2009, 10:01 am
Testimony Before the Subcommittee on Financial Services and General Government Committee on Appropriations U.S House of Representatives March 11, 2009 Mary Schapiro Chairman U.S. Securities and Exchange Commission Chairman Serrano, Ranking Member Emerson, Members of the Subcommittee: Thank you for the opportunity to testify today on behalf of the Securities and Exchange Commission. I am […]
By Securities Docket on January 27, 2009, 10:05 am
TESTIMONY OF LINDA CHATMAN THOMSEN DIRECTOR, DIVISION OF ENFORCEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Before the United States Senate Committee on Banking, Housing and Urban Affairs Concerning Investigations and Examinations by the Securities and Exchange Commission and Issues Raised by the Bernard L. Madoff Investment Securities Matter Tuesday, January 27, 2009 Good morning Chairman […]
By Securities Docket on October 29, 2008, 1:22 pm
Stop reading now if you did not like (or bother to see) Eminem’s movie “8 Mile.” Hey … where did everybody go? OK, for the three of you who are still reading, Joe Weisenthal of Clusterstock has some original advice for the heads of Fannie Mae and Freddie Mac who must testify next month on […]
By Securities Docket on October 23, 2008, 10:44 am
This morning, SEC Chairman Christopher Cox provided lengthy testimony concerning the role of federal regulators to the House Committee on Oversight and Government Reform. He delivered an impassioned statement about the need for the SEC to remain a strong, independent regulator and enforcer of the securities laws in the future, stating that “If the SEC […]
By Securities Docket on October 16, 2008, 5:21 pm
Arthur Levitt, chairman of the SEC from 1993 to 2001, harshly criticized the SEC for what he considers to be its failures in recent years — failures which he believes contributed to the current financial crisis. In his testimony before the Senate Banking Committee today, Levitt stated that “As the markets grew larger and more […]