Tag: derivatives

The Commission provided congressional testimony on international matters this week, while also issuing an alert regarding the municipal securities market and an Investor Bulletin. Enforcement announced that it has declined prosecution to an individual under its 2010 cooperation initiative. The …

THIS WEEK IN SECURITIES LITIGATION (Week ending March 23, 2012) Read More »

Tagged with: , , , , , ,

It was the night before Christmas – well almost – and all the Wall Street players were tucked in their beds. Each was dreaming of what Santa might bring when he slides down the chimney and fills their stocking. Each …

FRAGMENTS OF LETTERS TO SANTA Read More »

Tagged with: , , , , , , ,