Topic
Enforcement
987 published works
Securities Law Prof Blog
ProPublica: Why is SEC Picking on Egan-Jones?
Jesse Eisinger (ProPublica) goes after the SEC for bringing an enforcement action against the upstart ratings firm Egan-Jones allegedly for including inaccurate information in its SEC filing. He makes some…
Securities Compliance Sentinel
The SEC Has New Toys, Big Brother Is Watching
By Joshua Horn
Chairman Schapiro recently announced several technology enhancement initiatives that are designed to improve the SEC's enforcement efforts and business practices. These initiatives were certainly designed to enhance the SEC's ability…
Healthcare Workplace Update
OSHA to Target Nursing Homes and Residential Care Facilities with Programmed Inspections
By Andy Moss
OSHA recently announced a new enforcement program targeting nursing home and residential care facilities. The program, effective a week-and-a-half ago, focuses OSHA compliance officers on inspecting nursing homes and assisted…
Subject to Inquiry
CFTC Enforcement: A Busy Q1 in “Ponzimonium”
By Government Investigations Group
The Commodity Futures Trading Commission has had a busy first quarter: the CFTC’s Division of Enforcement brought 21 new enforcement actions in Q1 2012, and settled several matters pending from…
Environmental and Climate
LXBN TV: The Reasoning and Impact of the Supreme Court’s Ruling in Sackett v. EPA—Foley Hoag’s Robert Sanoff
As we touched in a previous episode of LXBN TV, and have seen numerous LXBN authors explain, Sackett v. EPA is a case that could have a very big impact…
Securities Compliance Sentinel
FINRA Enforcement and Fines Are Up — Now What
By Joshua Horn
FINRA recently commented on its enforcement actions and fines over 2011. If anything, the statistics show that broker-dealers are on notice of two things: (1) FINRA is aggressively pursuing enforcement actions;…
The D&O Diary
Second Circuit Rebuffs Rakoff, Grants Stay to Hear Appeal on Settlement Ruling
In a sharply worded March 15, 2012 per curiam opinion (here), a three-judge panel of the Second Circuit granted the motions of Citigroup and the SEC to stay district court…
Health Industry Washington Watch
340B Enforcement Activities
The Health Resources and Services Administration (HRSA) has announced plans to strengthen oversight of both covered entities and manufacturers participating in the 340B drug discount program to ensure compliance with…
Federal Securities Law Source
Bloomberg.com Article Questions SEC’s Claim of Record-Breaking Enforcement Statistics
A March 2, 2012 article by Joshua Gallu on Bloomberg.com states that the SEC's claim that there has been an increase in the number of enforcement actions "isn’t supported by…
Employment Discrimination Report
EEOC to Receive a $14 Million Dollar Increase in Enforcement Budget
President Obama has proposed an increase in the EEOC's 2013 fiscal year budget due, in part, to an increasing backlog of cases. The increase in funding combined with the increase…