Tag: Dodd Frank

The SEC is facing the latest challenge to the way it utilizes its Congressionally delegated authority. Specifically, credit rating firm Egan-Jones Rating Company and its founder and principal Sean Egan filed a complaint against the Commission claiming that it can …

EGAN-JONES SUES SEC TO HALT ADMINISTRATIVE PROCEEDING Read More »

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The Commission provided congressional testimony on international matters this week, while also issuing an alert regarding the municipal securities market and an Investor Bulletin. Enforcement announced that it has declined prosecution to an individual under its 2010 cooperation initiative. The …

THIS WEEK IN SECURITIES LITIGATION (Week ending March 23, 2012) Read More »

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