Year: 2012

The Impact of the New Commission Cooperation Initiatives – Part I.

Cooperation was a major tenant in the retooling of the SEC’s enforcement program. Borrowing heavily from the Department of Justice, the Commission announced proposals to use non-prosecution agreements and deferred prosecution agreements to encourage cooperation in 2010. While the emphasis

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This Week In Securities Litigation (Week ending November 2, 2012)

In a week when the financial markets were shut for two days by hurricane Sandy, the Commission filed actions focused on insider trading, financial fraud, false advertising, and, in addition, a stop order proceeding. One insider trading case stems from

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