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26 Oct 2011, 1:04 pm
Well worth reading over at ProPublica: Jesse Eisinger's Why the SEC Won’t Hunt Big Dogs , a blistering critique of the SEC's recent $285 million settlement with Citigroup over misleading investors by selling a CDO created out of mortgage securities... [read post]
24 Jan 2010, 7:38 am
The SEC filed its brief to the Fifth Circuit appealing the district court's dismissal of its insider trading charges against Mark Cuban. [read post]
29 Sep 2011, 9:12 am
As I have discussed earlier, when the SEC engages in rulemaking,... [read post]
21 Jul 2011, 1:37 pm
Jenkins was forced to settle, but now that the SEC has rejected the settlement, the case is going to trial. [read post]
19 Apr 2010, 2:55 pm
WSJ, SEC... [read post]
30 Jun 2011, 4:47 am
The SEC charges Gupta with tipping confidential inside information about Goldman Sachs and Procter & Gamble... [read post]
10 Jun 2009, 12:47 pm
SEC Chairman Schapiro announced that the agency is considering proposals for additional disclosure regarding executive compensation: [T]he SEC is actively considering a package of new proxy disclosure rules that will provide further sunshine on compensation decisions. [read post]
30 Dec 2010, 1:21 pm
INVNews, SEC won't... [read post]
19 Apr 2018, 10:43 am
Yesterday, the SEC announced three different proposals related to financial advice for retail customers. [read post]
21 Apr 2009, 1:46 pm
SEC Commissioner Luis A. [read post]
4 May 2011, 12:53 pm
SEC Chairman Mary Schapiro presented Testimony on the President's FY 2012 Budget Request for the SEC before the United States Senate Subcommittee on Financial Services and General Government, Committee on Appropriations, on May 4, 2011. [read post]
10 Jun 2010, 7:36 am
The story highlights the difficulties facing the new SEC regime as it tries... [read post]
17 Jan 2013, 12:00 pm
The SEC has indicated that it plans to issue a Notice of Proposed Rulemaking on requiring public companies to disclose their spending on politics. [read post]
28 May 2015, 8:02 am
The post discusses how the SEC determines whether as a civil action in federal court or an SEC administrative proceeding. [read post]
5 Jun 2009, 6:58 am
Divide and Conquer: SEC Discipline of Litigation Attorneys, by Julie Andersen Hill, University of Houston Law Center, was recently posted on SSRN. [read post]
15 Jun 2016, 3:25 am
Resources that the SEC doesn’t have. [read post]
9 Aug 2023, 11:25 am
The SEC stated, ?? [read post]
13 Jul 2011, 4:53 am
SEC Chairman Mary L. [read post]
6 Mar 2009, 11:21 am
The SEC will hold a roundtable on April 15 relating to its oversight of credit rating agencies. [read post]
5 Aug 2011, 5:00 am
The SEC terminated the administrative proceeding for one of two reasons. [read post]
