Year: 2007

Series: SEC Enforcement Program 2007, Projecting Trends and Key Issues (Part XI)

SEC Enforcement Trends – Gate Keepers  The SEC has long focused on the conduct of “gate keepers,” such as directors, attorneys and auditors, in an effort to enlist them as a kind of “advance guard” to be there on the

Series: SEC Enforcement Program 2007, Projecting Trends and Key Issues (Part X)

SEC Enforcement Trends – Trading Abuses  The Enforcement Division has long focused on situations in the markets where traders took advantage of situations, exploited conflicts of interest and took unfair advantage to tilt the playing field.  Last year there were

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