SEC Chairman Mary Schapiro testified before the Senate Subcommittee on Financial Services and General Government yesterday. Most of Ms. Schapiro’s testimony recounted current efforts to reinvigorate the enforcement program and improve investor protections. Changes such as the elimination of the …
Year: 2009
Commission Wins Jury Verdict Against Former CEO Based On False MD&A
A jury returned a verdict in favor of the SEC on all counts on June 1, 2009, in a financial fraud case centered on false and misleading statements in the MD&A section of a Form 10-Q filing and related statements …
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