Month: May 2016

The SEC’s latest stock manipulation case might be titled “How to make (almost) over $400,000 in just 27 minutes.” The key is to use Williams Act filings not to alert the market and issuer to a potential take-over but to …

SEC – A Computer and Twenty-Seven Minutes To Profit Read More »

Tagged with: , ,

Compliance programs, Chief Compliance Officers and liability have been the subject of a great deal of debate in recent months. Members of the Commission, for example, debated charging decisions regarding CCOs last year in comments that must have made those …

The SEC, CCOs and Compliance Programs Read More »

Tagged with: , ,