Year: 2007

Chairman Cox’s New Corporate Penalty Procedures: More Transparency or More Process?

The SEC is about to shift the way it assesses corporate penalties according to a story in the Washington Post today. Under a new formula crafted by SEC Chairman Cox, enforcement staff will have to obtain authority from SEC Commissioners

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

SEC Enforcement Trends – Conclusion  An analysis of recent SEC statements and selected enforcement cases suggests several key trends that issuers, directors, officers and those who provide services to public companies should carefully monitor and consider.  The aggressive enforcement positions