Tag: procedures

The Commission announced the filing of a record number of enforcement actions for the last fiscal year. The enforcement statistics highlight areas of concentration such as insider trading, investment advisers and private equity funds. The agency also brought three enforcement …

This Week In Securities Litigation (Week ending Oct. 14, 2016) Read More »

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A continuing focus of SEC enforcement is compliance by entities with their disclosed procedures. The Commission’s latest action in this regard resulted in the payment of nearly $6 million by a Credit Rating Agency that not only failed to comply …

SEC Sanctions Another Entity For Not Following Its Procedures Read More »

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