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7 Jun 2022, 7:47 pm
” The SEC further stated that Mr. [read post]
14 Aug 2023, 6:41 am
Insightful look into the workings of the SEC Whistleblower Program. [read post]
4 Aug 2009, 2:50 pm
Schapiro made a statement that the SEC may curb the practice to eliminate inequities. [read post]
8 Oct 2018, 11:46 pm
The post followed on the SEC's... [read post]
20 Aug 2008, 9:39 pm
The SEC has announced that it has developed a new database, IDEA, that will eventually replace the EDGAR database. [read post]
1 Oct 2017, 9:08 pm
Shiu-Yik Au has posted The Effectiveness of SEC Enforcement in Deterring Financial Misconduct on SSRN with the following abstract: This paper examines how the Securities and Exchange Commission’s (SEC) enforcement actions and whom they target deter future financial misconduct. [read post]
9 Jan 2012, 8:19 am
Saturday's New York Times reports here on the SEC's decision to end its "does not admit or deny" policy, but only for SEC civil defendants who are also pleading guilty to criminal charges... [read post]
10 Mar 2011, 3:09 pm
Today was a big day for the SEC on Capitol Hill, as Chair Mary Schapiro testified before two different oversight committees on the SEC's budget and ethical issues: Testimony on the Financial Management, Work Force Management and Internal Operations of... [read post]
3 Oct 2011, 12:30 pm
A good read -- Sarah Johnson, Is the SEC Being “Set Up to Fail”? [read post]
8 Apr 2014, 1:28 pm
Larissa Lee has posted Admission of Guilt: Sinking Teeth into the SEC's Sweetheart Deals on SSRN with the following abstract: Throughout its existence, the Securities and Exchange Commission (SEC) has allowed defendants to settle cases without admitting to the allegations... [read post]
1 Dec 2009, 10:52 am
The Virtual Museum of the Securities and Exchange Commission Historical Society announces the opening of its latest gallery, In the Midst of Revolution: The SEC, 1973-1981. [read post]
21 Jun 2011, 5:35 am
Sebastian De La Maza, which the SEC lost: Look, you win some and you lose some. [read post]
15 Oct 2017, 2:10 pm
David Rosenfeld has posted Admissions in SEC Enforcement Cases: The Revolution That Wasn't on SSRN with the following abstract: In 2013, the SEC departed from its long-standing policy of settling enforcement matters on a no-admit/no-deny basis, and for the first... [read post]
18 May 2010, 4:00 am
In response to Madoff’s scheme, the SEC adopted a new rule that took effect last Friday. [read post]
26 Jul 2010, 7:01 pm
While some Circuits saw stalwart SEC staffers occasionally attempt to bring such agreements... [read post]
12 Nov 2019, 9:20 am
Since giving its first award in 2012, the SEC has paid 66 whistleblowers $387 million. [read post]
26 Oct 2022, 12:56 pm
Circuit Court of Appeals upheld the SEC’s denial. [read post]
25 Aug 2011, 2:23 pm
" According to this new section, the SEC is to pay awards to whistleblowers that provide the SEC with original information that leads to the successful action whereby the SEC assesses greater than $1 million in fines and sanctions. [read post]
28 Apr 2011, 11:49 am
The expected date is now between May and July, according to the SEC's calendar.Earlier stories had reported delays in implementing an SEC whistleblower office because of budgetary concerns.An SEC spokesman John Nester declined to comment on why the SEC has delayed the final rules but told the Wall Street Journal that the agency is working hard to meet all the Dodd-Frank law’s deadlines “with an emphasis on getting the rules right. [read post]
19 Nov 2010, 2:39 pm
Somebody should pass this information onto the SEC. [read post]
