For over a year an a half, there has been an on-going effort to rejuvenate SEC enforcement. Enforcement has new personnel, new organization and new initiatives. During this process the SEC’s market crisis investigations have yielded some significant cases such …

MEASURING THE SUCCESS OF SEC ENFORCEMENT Read More »

Hearings began on Capital Hill focusing on modifying a provision of Dodd-Frank the SEC has long sought. Chairman Schapiro claimed the provision is key to the SEC’s inspection program since it permits the agency to withhold certain proprietary materials. SEC …

THIS WEEK IN SECURITIES LITIGATION (September 17, 2010) Read More »