As the SEC continues to implement the Dodd-Frank Act, Commissioner Luis Aguilar outlined five key principles to guide the deliberations and actions of the agency. “An Insider’s View of the SEC: Principles to guide Reform,” available here. Principle one: Investor …

COMMISSIONER AGUILAR DETAILS GUIDING PRINCIPLES FOR THE SEC Read More »

On the eve of trial the SEC settled one of its most significant market crisis cases, SEC v. Mozilo, Case No. CV 09-03994 (C.D. Cal. Filed June 4, 2009). The case is significant because it is one of the few …

THE COUNTRYWIDE SETTLEMENT: SIGNIFICANT QUESTIONS Read More »