Year: 2009

THIS WEEK IN SECURITIES LITIGATION (September 25, 2009)

Congress continued to consider financial market reform this week with additional testimony from SEC Chairman Schapiro and others. SEC enforcement filed a settled administrative proceeding based on claimed violations of Regulation FD, an insider trading action, and a settled case

A QUICK AND EFFECTIVE SEC ENFORCEMENT EFFORT

Much has been written about the rejuvenation of SEC enforcement. No doubt much more will be written in the future. Perhaps the insider trading case filed Wednesday is a harbinger of good things to come for SEC Enforcement. SEC v.

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