Year: 2011

LEGISLATION TO REVAMP THE SEC

Two legislative proposals which would reorganize the SEC and impact the manner in which regulations are enacted are pending before the House Financial Services Committee. These proposals were considered at a hearing last week entitled “Fixing the Watchdog: Legislative Proposals

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THIS WEEK IN SECURITIES LITIGATION (September 16, 2011)

As the week drew to a close reports surfaced of a rogue trader who had run up $2 billion in trading losses at UBS in London while the SEC reportedly is expanding its market crisis probe. At the same time

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