The focus was on Dodd-Frank this week as the Commission continued to implement the Act, issuing proposed rules regarding asset backed securities and derivatives. SEC Enforcement filed a financial fraud case and another investment fund fraud action which tracks a …

THIS WEEK IN SECURITIES LITIGATION (October 15, 2010) Read More »

The SEC’s Inspector General found that there is no evidence the filing and settlement of the enforcement action against Goldman Sachs (here) was politically timed or that there were leaks to the media. The Report, made available yesterday, concludes there …

ISSUES OF POLITICAL TIMING AND PR: THE SEC’S IG REPORTS ON GOLDMAN Read More »