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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]
19 Sep 2010, 9:01 am
Too Close for Comfort: The Problem with Stationary SEC Officers, by Robert E. [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]
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]
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]
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]
5 May 2023, 12:30 pm
” Further Reading: SEC Issues Largest-Ever Whistleblower Award More SEC Whistleblower News on WNN The post SEC Issues Record $279 Million Whistleblower Award appeared first on Whistleblower Network News. [read post]
26 Aug 2022, 1:04 pm
Read: SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips More SEC Whistleblower News on WNN The post SEC Adopts Two Rule Changes to Whistleblower Program appeared first on Whistleblower Network News. [read post]
31 Mar 2022, 2:52 pm
” Read: Grassley, Warren Work to Strengthen SEC Whistleblower Program More SEC Whistleblower News on WNN The post Bipartisan SEC Whistleblower Reform Act Introduced appeared first on Whistleblower Network News. [read post]
18 Aug 2010, 5:04 am
The SEC is Hiring 800? [read post]
25 Jun 2021, 7:31 am
Hiring experienced SEC counsel can greatly increase your chances of the SEC initiating an investigation based on your information. [read post]
29 Nov 2022, 10:54 am
Further Reading: SEC Whistleblower Office Announces Results for FY 2022 What is the SEC Whistleblower Program? [read post]
8 May 2018, 3:03 am
SEC Commissioner Mike Piwowar – whose term expires in early June & who served briefly as Acting SEC Chair last year – will leave the SEC by early July, after serving nearly five years. [read post]
24 Apr 2007, 1:08 pm
Will the SEC circle back around and come after him? [read post]
27 Nov 2023, 12:37 pm
The post The Remedy in SEC v. [read post]
10 Jun 2008, 1:46 pm
The SEC could articulate best practices formally through SEC releases or informally through speeches and writings of individual commissioners and division directors. [read post]
18 Sep 2008, 12:39 pm
SEC Chair Cox Rejects Senator McCain's Call to ResignIn response to a call from the Republican presidential candidate for his resignation, SEC Chair Christopher Cox defended the Commission's actions in the ongoing financial crisis. [read post]
2 Aug 2016, 4:00 am
What You Need to Know about the SEC’s New Rules for Administrative Proceedings The Securities and Exchange Commission (SEC) recently adopted several amendments to its rules of practice governing administrative proceedings. [read post]
13 Sep 2023, 8:22 am
In recent years, the SEC has made an effort to inspect newly registered advisers within a year of registering with the SEC. [read post]
22 Oct 2012, 8:52 am
Does the SEC have the Resources? [read post]
