Year: 2009

Recent speeches by SEC Chairman Mary Schapiro and Commissioner Luis Aguilar provide glimpses of the future at the SEC. In their remarks, the Commissioner’s commented on three key areas, enforcement approach and internal procedures, rule making initiatives and possible legislative …

Visions Of What May Come: A Glimpse Of The Future At The SEC Read More »

Last year, there were important circuit court decisions regarding the scope of aiding and abetting liability in SEC enforcement actions and parallel SEC and DOJ investigations. Each decision is likely to have a significant impact on SEC enforcement in the …

Part IX: SEC Enforcement Trends And Priorities, 2009 — Key Legal Issues Read More »