George L. Smith pled guilty yesterday to one count of obstructing an SEC insider trading investigation. Mr. Smith is a former director and founding member of the Chicago Board of Options Exchange, director of the American Stock Exchange, chairman and …

Former Broker Pleads Guilty To Obstructing SEC Insider Trading Investigation Read More »

Prior installments of this occasional series on the new Enforcement Manual have considered the Wells Process, Cooperation and Parallel Proceedings. The segment today will consider issues regarding the production of documents as to form. The Sections of the Manual regarding …

The New Enforcement Manual: Document Productions — Form Read More »