Month: October 2008

This Week In Securities Litigation (October 31, 2008)

Fall out from the market crisis continues with settlements in the ARS market and continued concerns about the impact of short selling. The SEC followed up on its earlier settlement with Fidelity Investments regarding improper payments to obtain brokerage business

The New Enforcement Manual And the Wells Process

The publication of the SEC Enforcement Division’s Enforcement Manual, which details its internal procedures, is a milestone. Many, including former SEC Commissioner Atkins, have repeatedly called for the Division to publish such a manual in the interest of fairness and

Top