The SEC Speaks conference has traditionally been a forum in which the agency reviewed significant recent undertakings and indicated its future direction. This year was no different. Four of the five Commissioners addressed conference participants, discussing recent significant undertakings and …
Tag: bad boy provisions
SEC Commissioner Gallagher, The Bad Boy Provisions and Remedies
Waivers from the automatic disqualifications of the “bad boy” provisions which can come into play following the resolution of a Commission enforcement action is a topic of increasing concern. Consider the recent decision regarding Oppenheimer for example. There the Commission …
SEC Commissioner Gallagher, The Bad Boy Provisions and Remedies Read More »