Last week, Erik R. Sirri, SEC Director of Division of Market Regulation, gave a speech offering suggestions and discussion points for a cooperative approach to enable foreign exchanges and foreign broker-dealers to conduct business within U.S. boarders. http://sec.gov/news/speech/2007/spch030107ers.htm Mr. Sirri …

Cross-Border Access – A Cooperative Approach Read More »

SEC Enforcement Trends – Stock Option Backdating  Stock option backdating is a primary area of interest for both the SEC and the Department of Justice.  Since articles first began appearing in the Wall Street Journal in the fall of 2005 …

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