SEC Enforcement Trends:  Insider Trading  Insider trading is more than a traditional area of emphasis by enforcement, it is clearly a high priority that should be of concern at least to corporate officers and directors who may periodically have transactions …

Series: SEC Enforcement Program 2007, Projecting Trends and Key Issues (Part VII) Read More »

The purpose of SEC and NYSE enforcement actions is to protect the markets, investors and public, not explore history.  Two settled enforcement actions filed yesterday raise significant questions about their purpose. Yesterday, the SEC announced settlements in two actions in …

Stale Enforcement Actions Do Not Protect the Public: Why Bring Stale Cases Against Banc of America and Goldman? Read More »