Year: 2011

THIS WEEK IN SECURITIES LITIGATION (January 7, 2011)

To start the new year SEC enforcement partially settled a long running insider trading case. The Commission also brought cases alleging evasion of the registration requirements and a churning action in which an order of nuns was defrauded. Two reports

SEC ENFORCEMENT TRENDS 2011: REOGRANIZATION

This is the third in a series of articles that will be published periodically analyzing the direction of SEC enforcement. While the Commission has been proposing new rules, the Division of Enforcement has undergone perhaps its most significant reorganization since

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