Last week SEC Enforcement Division Director Andrew Ceresney,testified before Congress regarding the efforts of the Division and its requested for additional funding, highlighting its priorities (here). The Director began by telling the subcommittee that “A strong enforcement program is at …
Year: 2015
This Week In Securities Litigation (Week ending March 20, 2015)
The broken windows approach to enforcement continued this week. The Commission bundled together eight settled administrative proceedings centered on going private transactions in which the Respondents failed to update their Schedule 13D filings. The agency also brought another Rule 105 …
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