Should there be anxiety in the boardroom concerning SEC enforcement?  Consider the following: Traditionally the duties of directors have been a function of state law.  SOX changed that.  As SEC Commissioner Paul S. Atkins noted in a March 25, 2006 …

SEC Enforcement: Anxiety In The Board Room Read More »

One can only wonder where the SEC is heading.  Consider a few recent events:  1)  Recent new articles suggest that the SEC is considering a proposal under which corporations could limit their liability in securities class actions.  The proposal would …

New Positions; Old Positions; Getting Slower – Where is the SEC Headed? Read More »