Topic
Enforcement
987 published works
Employment & Labor
Eighth Circuit Flexes Its Supervisory And Enforcement Powers In Remanding Rejection Of An EEOC Consent Decree
By Laura Maechtlen and Brian Wong When negotiating settlement terms with the EEOC, employers can expect the EEOC to make great efforts to incorporate expansive enforcement mechanisms into a proposed…
Consumer Finance Monitor
Plenty to worry about in the CFPB-FTC MOU
The CFPB and the FTC recently released their long-awaited Memorandum of Understanding (MOU), outlining how they plan to work together on non-bank enforcement, rulemaking and research in the consumer financial…
Consumer Finance Monitor
Regulation By Enforcement? No Privileges Need Apply!
The CFPB has ramped up its enforcement staff to approximately 100 attorneys. That’s more than twice as many as are currently employed by the OCC, which is no shrinking violet…
Securities Compliance Sentinel
You Knew It Was Coming SEC Looks to Enhance Its Enforcement Program
In a letter to certain senators, SEC Chairman Mary Schapiro has requested new statutory power to enhance the SEC’s Enforcement program’s effectiveness. In particular, the SEC is seeking statutory upgrades…
Corporate & Securities Law Blog
SEC Changes Policy on Admitting Guilt in Settlements of Enforcement Actions
On January 6, 2012, the Securities and Exchange Commission (“SEC”) announced that it has modified its settlement policy for enforcement actions that also involve a criminal conviction or admissions by…
Securities Compliance Sentinel
FINRA Ramped It Up In 2011
By Joshua Horn
FINRA recently provided its statistical results and highlights for 2011. Among the more significant items that FINRA noted, FINRA has brought, to date, 1,411 enforcement actions and levied fines totaling more than…
Subject to Inquiry
FCPA Enforcement Measures
By Government Investigations Group
In a recent article for the ABA Journal 'Litigation', Susan Hansen argues that prosecutors are wielding the Foreign Corrupt Practices Act more actively, but not always successfully, while business interests…
Securities Law Prof Blog
Khuzami Defends SEC-Citigroup Settlement
Here is the response of Robert Khuzami, SEC Director of Enforcement, to Judge Rakoff's rejection of the Citigroup settlement:While we respect the court's ruling, we believe that the proposed $285…
Securities Compliance Sentinel
New Article on Broker-Dealer Registration Enforcement
We wanted to share with you a recently published article on broker-dealer registration enforcement. Enjoy. http://apps.americanbar.org/litigation/committees/securities/email/fall2011/fall2011-tide-turning-against-sec-favor-finders.html
Federal Securities Law Source
SEC Announces Division of Enforcement Statistics For the Fiscal Year: A Record Number of Actions Were Filed
On Wednesday, November 9, 2011, the SEC issued a Press Release announcing that it had filed 735 enforcement actions in the fiscal year ending September 30, 2011, touting it as…