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22 Mar 2024, 2:20 am
While these recent actions were focused on SEC-regulated entities, it would not be surprising if the SEC announces actions against public companies in the near future, given the SEC’s professed focus on this area amidst all of the AI hype. [read post]
16 Jun 2010, 10:47 am
During the conference session of June 16, the House acceded to the Senate provision (Sec. 991) providing for the SEC to become a self-funding organization. [read post]
16 Sep 2021, 6:07 am
With these awards, the SEC has issued more than $1 billion to 207 whistleblowers, ten years after the SECs Whistleblower Program became effective. [read post]
11 Apr 2014, 10:54 am
In promulgating rules, the SEC must not only ensure that its rules... [read post]
27 Apr 2010, 1:25 pm
The SEC's Report on Administrative Proceedings For Period October 1, 2009 through March 31, 2010, required by Rule 900 of the Commission’s Rule of Practice, is posted on the SEC's website. [read post]
14 Jan 2010, 5:47 pm
(see SEC Press Release) And cooperators may obtain a benefit of immunity in return for... [read post]
19 Sep 2010, 9:01 am
Too Close for Comfort: The Problem with Stationary SEC Officers, by Robert E. [read post]
9 Jan 2014, 2:19 pm
Gorman of the SEC Actions blog has authored a series of thoughtful posts on The SEC: The Future Path of Enforcement (Part I, Part II, Part III, and Part IV). [read post]
19 Sep 2010, 9:01 am
Too Close for Comfort: The Problem with Stationary SEC Officers, by Robert E. [read post]
8 Jan 2009, 5:35 am
Bruce Carton has a great article that examines the myth of the SEC being too cozy with the industry and reaping huge Wall Street jobs when they leave the Commisssion.Time for a Brief Reality Check in the SEC Bashing [read post]
18 Mar 2010, 5:26 pm
Charles Lane of the Washington Post has a video interview with SEC Chair Mary Schapiro, in which she discusses improvements at the agency in response to the Madoff scandal, the inadequacies of the SEC's Consolidated Supervised Entity (CSE) Program and... [read post]
17 Jul 2010, 12:13 pm
SEC Enforcement: Does Forthright Disclosure and Cooperation Really Matter? [read post]
7 Aug 2010, 11:01 am
WSJ, Clawbacks Divide SEC . [read post]
31 Jan 2015, 5:00 am
Jonas Heese has posted an interesting paper to SSRN, Government Preferences and SEC Enforcement, where he argues that the SEC goes easy on firms that contribute significantly to employment in a particular area. [read post]
20 Nov 2010, 8:00 am
In order to allow family offices to retain their ability to escape SEC regulation, the SEC has proposed new rules that define “family office” as an advisory firm that: Provides investment advice only to family members, as defined by the... [read post]
26 Feb 2012, 7:32 am
I recently posted on SSRN my paper, The SEC and the Foreign Corrupt Practices Act: Fighting Global Corruption is Not Part of the SEC's Mission. [read post]
17 Jun 2021, 12:21 pm
Norberg’s impending departure, the SEC issued a $50 million award, the SEC’s second-largest award in the program’s history. [read post]
17 Oct 2019, 10:47 pm
$24 Million Settlement Although the Block.one SEC settlement was for $24 million, the company neither admitted nor denied the SEC’s allegations. [read post]
31 Oct 2009, 1:44 pm
The SEC's comprehensive power over the Board enables the SEC to direct the Board's every action and effectively precludes any Board member from defying the Commission's policy choices. [read post]
22 Oct 2008, 6:42 pm
Former SEC Chair Levitt Calls for Merging the SEC and CFTCIn a piece in today's Wall Street Journal, former SEC Chair Arthur Levitt called for the merger of the SEC and CFTC into the Securities Futures Commission with enhanced authority over hedge funds, OTC products and rating agencies. [read post]
