Topic
Enforcement
985 published works
Securities Law Prof Blog
Aguilar Speaks on SEC Reforms
SEC Commissioner Luis A. Auilar gave a speech, Empowering the Markets Watchdog to Effect Real Results, at the North American Securities Administrators Association's Winter Enforcement Conference on January 10, 2009. …
Energy & Environmental Law Blog
FERC Enforcement Decisions
By Vorys
The FERC recently issued two enforcement orders approving stipulations between the Office of Enforcement and natural gas marketing and asset management companies that resolve self-reported violations of the FERC's shipper-must-have-title…
InsureReinsure
UK: Lloyd’s Issues Guidance on When it Will Take Enforcement Action
On 5 November, Lloyd's issued Market Bulletin Y4202, entitled Principles of Enforcement Action (the Bulletin). The Bulletin, prepared by the Market Supervision and Review Committee (the body responsible for investigating…
White Collar Crime Prof Blog
The New SEC Enforcement Manual
By Ellen Podgor
The cite to the new SEC Enforcement Manual is here. Commentary down the road. (esp)(w/ a hat tip to Stephanie Martz and Tiffany M. Joslyn of NACDL)
ImmigrationProf Blog
The Limits of Immigration Enforcement
The Washington Post has an editorial on immigration enforcement that emphasizes that, despite the human misery caused by the increase in immigration raids. the "basic legal and economic dynamics that…
Broadcast Law Blog
When is an FCC Fine Excessive? – The 2% Solution
In two recent FCC decisions, one dealing with a commercial operator and that other with a noncommercial licensee, the Commission's staff addressed the issue of how large an FCC fine could be…
Securities Law Prof Blog
D.C. District Court Finds Courts Cannot Impose Penalties for Aiding & Abetting Advisers Act Violations
In what the court describes as a "case of first impression," the federal district court for the District of Columbia held that the SEC does not have the authority to…
Drug & Device Law
The Pythagorean Integrity of the Law
By Bexis
We don't know what that title means; we just wanted to draw some mathematicians to our blog. Well, no. Actually, we just read United States v. Endotec, No. 6:06-cv-1281-Orl-18KRS, 2008…
Securities Law Prof Blog
Senator Says SEC May be Moving too Fast on Mutual Recognition
Senator Jack Reed (D-RI) expressed concern that the SEC is moving too fast toward mutual recognition of foreign regulators and plans to call a hearing on the concept. In addition,…
Securities Law Prof Blog
SEC Staff on Bear Stearns Situation
The SEC website has posted Answers to Frequently Asked Investor Questions Regarding The Bear Stearns Companies, Inc. As part of a response to a question about SEC involvement in the…