Year: 2012

Last week the Commission declined to prosecute a senior executive at AXA Rosenberg who entered into a cooperation agreement. The announcement detailed the reasons for the action, including his assistance to the staff as well as the fact that he …

ANOTHER SEC COOPERATION AGREEMENT Read More »

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The Supreme Court rejected the approaches of two Circuit Courts to tolling the limitation period for bringing an Exchange Act Section 16(b) claim while failing to decide if that period can be tolled. The High Court rejected the conclusion of …

S. CT. FAILS TO DECIDE LIMITATION PERIOD FOR SECTION 16(b) CLAIMS Read More »

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