Topic
Enforcement
985 published works
Securities Law Prof Blog
Former KPMG Consulting Managing Director Settles Peregrine Fraud Charges
The SEC settled an enforcement action against a former principal and managing director of KPMG Consulting LLC for his role in deceiving investors in a major corporate accounting fraud. Larry…
Securities Law Prof Blog
FINRA Sets Up Screening Process for Enforcement Actions
The securities industry has long accused regulators of "rulemaking by enforcement." FINRA enforcement chief Susan Merrill says it won't happen in her shop. In addition, FINRA has instituted a screening…
Securities Law Prof Blog
SEC Budget Request Remains Constant with Last Year’s Budget
The SEC posted on its website its FY 2009 Congressional Justification for its budget. Its FY 2009 budget request totals $913 million, a $7 million (.8%) increase over the agency's…
Litigation & Trial
Plaintiff’s Representation is a Serious Investment
Snipped from a WSJ Law Blog note on starting an plaintiff's intellectual property practice:... the new IP group willl focused on enforcing the patent rights of inventors and universities against…
Securities Law Prof Blog
Atkins Calls for Review of SEC Enforcement Program
In a recent speech, SEC Commmissioner Paul Atkins, reviews the history of the Wells Committee and says:I welcome the idea of new advisory committees to review the functions of our…
Securities Law Prof Blog
15 Firms Fined for Failure to Deliver Prospectuses
NYSE Regulation announced today that as a result of an industry–wide review of prospectus delivery procedures, it has censured and fined 14 member firms and one former member firm a…
Securities Law Prof Blog
Casey Speaks Before NASAA Conference
An excerpt from Speech by SEC Commissioner Kathleen L. Casey, at the North American Securities Administrators Association Annual Conference, Seattle, Washington, October 1, 2007:In recent months, the Commission has also…
Securities Law Prof Blog
GAO Report on SEC Enforcement Division Sees Need for Further Improvement
The GAO was asked to evaluate the SEC Enforcement Division's (1) investigation planning and information systems and (2) oversight of Fair Funds program. Among its findings:In March 2007 the SEC…
The D&O Diary
Insider Trading: It Still Matters
There is an understandable tendency to focus on emerging risks and latest trends, because new issues often are the most interesting and because no one wants to get blindsided by…
Securities Law Prof Blog
Park on Securities Regulation
The Competing Paradigms of Securities Regulation, by JAMES J. PARK, Brooklyn Law School, is now available on SSRN. Here is the abstract:The securities industry is simultaneously governed by specific rules…