Tag: scandals

The SEC seems to be haunted by the ghosts of debacles past. Past ghosts still haunting the SEC included the failure to discover Madoff multiple times over multiple years. The General Counsel, the Director of the Division of Enforcement and …

TONE AT THE TOP, CULTURE AND THE SEC Read More »

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Two legislative proposals which would reorganize the SEC and impact the manner in which regulations are enacted are pending before the House Financial Services Committee. These proposals were considered at a hearing last week entitled “Fixing the Watchdog: Legislative Proposals …

LEGISLATION TO REVAMP THE SEC Read More »

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