Search for: "Bruce Carton" Results 101 - 120 of 254
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3 Dec 2010, 5:00 am by Doug Cornelius
Imagining a World of Legalized Insider Trading by Bruce Carton in Compliance Week‘s Enforcement Action There are arguments for legalizing insider trading that revolve around promoting the free flow of information–I get that. [read post]
7 Jan 2013, 5:00 am by Doug Cornelius
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
5 Nov 2010, 5:00 am by Doug Cornelius
Ethisphere’s 20 Ethics & Compliance Officers ‘Who Matter’ by Bruce Carton in Compliance Week‘s Enforcement Action Are you an attorney who matters in the world of ethics and compliance? [read post]
7 Jan 2013, 5:00 am
Pileggi of Fox Rothxchild LLP Enforcement Action by Bruce Carton FCPA Blog by Richard L. [read post]
2 Aug 2010, 1:16 pm by Elie Mystal
Writes Bruce Carton of Legal Blog Watch: “I’m not exactly sure what this development means for the current state of legal blogging, but just know this: There are now two blogs dedicated to mixed martial arts law!” [read post]
6 Dec 2009, 7:50 am
Robert Ambrogi and Bruce Carton find newsworthy stories in the legal field. [read post]
10 Feb 2012, 5:25 am by Doug Cornelius
Stressed-Out Compliance Officers May Soon Feel Even More Heat From SEC by Bruce Carton in Compliance Week’s Enforcement Action Unfortunately, this stress level is about to go even higher for compliance officers at investment firms if the SEC follows through on a recent decision that such compliance officers may themselves be sued as “supervisors.” According to Investment News, the SEC “sees compliance as an area ripe for scrutiny.” At a compliance… [read post]
6 Apr 2011, 5:00 am by Doug Cornelius
Yesterday, Bruce Carton of Securities Docket hosted a webinar: The SEC’s Asset Management Unit and Strategies for Avoiding Trouble in 2011 and Beyond. [read post]
2 Dec 2011, 10:51 am by Robert Ambrogi
Law.com’s Legal Blog Watch won Blawg 100 honors in 2008 and 2009, at which time I was the co-author of it, first with Carolyn Elefant and later with Bruce Carton. [read post]
29 May 2009, 9:00 am
References: Euro-Shareholder Trend: Throwing Stuff at Board Members by Bruce Carton in Enforcement Action Proxy Season Developments: Ten Signs that Things are Changing Online by Broc Romanek on TheCorporateCounsel.net Blog Notice and Access: Statistical Overview of Use with Beneficial Shareholders (.pdf) by Broadridge Notice and Access Resource Center Target’s Annual Meeting Campaign: “Bringing It” Online by Broc Romanek on TheCorporateCounsel.net Blog… [read post]
21 May 2009, 11:00 am
SlideDeck with Notes: Social Media and Compliance - Hosted on JD supra Sites Shown: Google Reader Compliance Building Wall Street Journal’s RSS feeds Securities Docket by Bruce Carton Integrity at Work by Bill Piwonka of EthicsPoint On Point by David Childers of EthicsPoint SEC.gov Updates: Press Releases White House Blog US Senate on YouTube President of Russia’s Blog Technorati’s State of the Blogosphere Compete’s Comparison of Twitter, NYTimes.com and… [read post]
6 Nov 2009, 4:00 am
ACC: The Use of Lawful and Ethical Strategies (Oct. 20, 2009) Octopussy and the Golden Goose by Bruce Carton for Enforcement Action If you are in an insider trading ring and your ring-buddies are using a "nickname" of any kind for you or others involved, it is all but certain that the nickname is going to be prominently mentioned when the SEC issues its press release about the case. [read post]
24 Oct 2014, 5:00 am by Doug Cornelius
SEC Breaks Down FY 2014 Enforcement Results, Highlights by Bruce Carton in Compliance Week Late last week, the SEC issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30, 2014. [read post]
7 Jul 2011, 3:08 pm by David Lat
Bruce Carton: “50 percent of U.S. law schools will close their doors due to overcapacity.” [read post]
23 Apr 2013, 5:18 am by Doug Cornelius
Brokerage Firm by Bruce Carton in Compliance Week [read post]
2 Sep 2011, 4:48 am by Doug Cornelius
First Case Brought Under UK Bribery Act Looks Nothing Like You Expected by Bruce Carton in Enforcement Action The first-ever action under the UK Bribery Act has now been filed–but it probably doesn’t look anything like what you expected. [read post]
30 Jan 2014, 5:25 am by Doug Cornelius
References: SEC’s ‘NEAT’ Tool Sifts Massive Quantities of Trade Data to Flag Insider Trading by Bruce Carton in Compliance Week SEC Chair Mary Jo White speech at 41st Annual Securities Regulation Institute [read post]
23 Oct 2009, 5:43 am
[Valetk, Law.com; Volokh] “Attorney Charged With Posting Ad Seeking ‘Secretary With Benefits’” [Legal Profession Blog via Bruce Carton, Legal Blog Watch] Maker of Monster energy drinks drops its cease and desist demand against Vermonster beer [Burlington Free Press] Putative class action filed against University of Illinois over clout-in-admissions scandal; a contest challenges readers to come up with best arguments for dismissal [Russell… [read post]
21 May 2009, 11:00 am
SlideDeck with Notes: Social Media and Compliance - Hosted on JD supra Sites Shown: Google Reader Compliance Building Wall Street Journal’s RSS feeds Securities Docket by Bruce Carton Integrity at Work by Bill Piwonka of EthicsPoint On Point by David Childers of EthicsPoint SEC.gov Updates: Press Releases White House Blog US Senate on YouTube President of Russia’s Blog Technorati’s State of the Blogosphere Compete’s Comparison of Twitter, NYTimes.com and… [read post]
23 Apr 2013, 5:18 am by Doug Cornelius
Brokerage Firm by Bruce Carton in Compliance Week [read post]