Category: SEC

The SEC, Judicial Skepticism and Salinas

  Here’s my handout on these topics: FINRA CLE SuperCourse – September 2013   Speaking on Friday in New York: Network of Trial Law Firms...

SEC Game-Time Program

Can’t tell the players without a program.   This is a handy graphic guide (via @WSJ) to the persons, entities, events and outcomes in SEC enforcement...

SEC Goes To Bat For Misled Compliance Officer

From The Wall Street Journal Risk & Compliance blog (and Samuel Rubenfeld @srubenfeld):  Good news for corporate compliance officers whose officers or employees lie to...