Year: 2011

THE SEC INSPECTOR GENERAL SHOULD FOCUS ON ITS MISSION

The Inspector General for the SEC issued another report on a pending enforcement action. This time the report concerned allegations of staff misconduct relating to the hotly contested enforcement action against Dallas Maverick’s owner Mark Cuban. SEC v. Cuban, Civil

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THIS WEEK IN SECURITIES LITIGATION (September 30, 2011)

Current market volatility was addressed this week when the Commission announced that the exchanges and FINRA would be filing updated circuit breaker rules. In addition, the staff issued an Alert regarding the use of sub-accounts in market manipulations, money laundering,

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