Submit a Story!
Votes
topics:

bcarton posted by bcarton vote down flag
Fiscal Year 2009: The SEC’s Year from Hell
securitiesdocket.com - 10/14/2009
Fiscal Year 2009: The SEC’s Year from Hell
—
For the Securities and Exchange Commission, which operates on a fiscal year that ends every September, Oct. 1, 2009, could not come soon enough. It seems almost beyond dispute that the agency’s fiscal 2009 was the most dismal in its history, and perhaps the most transformational. Now it ...
zerohedge.com - 10/7/2009
SEC Begging For Real Time CDS Pricing Terminal
— zerohedge.com — Securities Industries News discloses that the SEC has requested it be granted authority to have "direct access... to real-time data" on CDS and other derivatives. One wonders how the SEC was operating up until this point without this information. Yet ... (more) SEC Begging For Real Time CDS Pricing Terminal

Comments vote down Between the Hedges found this 10/7/2009found this
baselinescenario.com - 10/19/2009
Fox, Henhouse?
— baselinescenario.com — One of our readers emailed in a link to this Bloomberg story about the new “chief operating... officer” of the enforcement division of the SEC: Adam Storch, “a 29-year-old from Goldman Sachs Group Inc.’s business intelligence unit” who “had worked since 2004 in a ... (more) Fox, Henhouse?

Comments vote down jamesykwak jamesykwak posted 10/19/2009posted this
zerohedge.com - 10/16/2009
What Is The Rationale Behind The SEC's Hiring A 29 Year Old Goldmanite As Its COO?
— zerohedge.com — While one may or may not have feelings about Goldman's tentacled capture of various regulatory agencies, the... most recent news out of the SEC that it would be hiring a 29 year old former Goldman Vice President Adam Storch as its COO, questions the ... (more) What Is The Rationale Behind The SEC's Hiring A 29 Year ...

Comments vote down gary-weiss.com found this 10/16/2009found this
Comments
Related Content
The SEC
blogmaverick.com 11/17/2008 — I wish I could say more, but I will have to leave it to this, and let the judicial process do its job. November 17, 2008 RE: SEC Civil Action in the United States District for the Northern District of Texas, Dallas Division Mark Cuban today ...
The Rakoff Decision: The SEC Will Be Changed Forever
247wallst.com 9/15/2009 — Federal District Judge Jed S. Rakoff was supposed to a approve a $33 million settlement between the SEC and Bank of America (BAC) over the issue of the financial firm making inaccurate statements regarding Merrill Lynch employee compensation. These ...
Transcript: March 11, 2009 Prepared Testimony of SEC Chairman Mary Schapiro Before House Financial Services Subcommittee
securitiesdocket.com 3/11/2009 — Normal 0 false false false MicrosoftInternetExplorer4 <! st1\:*{behavior:url(#ieooui) } --> <! /* Style Definitions */ table.MsoNormalTable {mso-style-name:"Table Normal"; mso-tstyle-rowband-size:0; mso-tstyle-colband-size:0; mso-style-noshow:yes; ...
Securities Docket A.M. News Wire for June 3, 2009
securitiesdocket.com 6/3/2009 — SEC's Schapiro says there is "a logic and efficiency that can be achieved between a merger of" SEC and CFTC; U.S. prosecutors several months away from deciding whether to bring case against Countrywide founder Angelo Mozilo; Gary Aguirre Claims Settlement With SEC Unraveled Due to His Criticism ...
SEC Stonewalls at Senate Hearings on Madoff (and Congressional Fireworks!)
nakedcapitalism.com 2/5/2009 — L'affaire Madoff gets more interesting by the day. I had though the failure to pursue the hedge fund scamster had more to do with incompetence and a disinclination to go after investment managers (insider trading cases, which is what seems to get ...
SEC Skipped Normal Inspection of Madoff Hedge Fund
nakedcapitalism.com 12/14/2008 — So how did Madoff get away with his $50 billion fraud? Time will tell when and how it started, although I'd hazard the dot com bust. Madoff may have been unwilling to report losses, and assumed (initially) that no one would be hurt if he fibbed if ...
Securities Docket A.M. News Wire for 2009-05-09
securitiesdocket.com 5/9/2009 — SEC filing: Sun shareholders sue to block Oracle acquisition. http://bit.ly/IDkWD # Today’s Webcast (May 8): Materials Available Here for “Hedge Funds: A Brave New World of Regulation and Enforcement.” http://bit.ly/HedkG # US investors ask courts to allow UK schemes to participate in RBS class ...
SEC Warns Investors and Financial Firms of Government Impersonators
sec.gov 3/2/2009 — The Securities and Exchange Commission today is warning investors and financial services firms about con-artists who may use the names of actual SEC employees to mislead potential victims. The agency also is providing information to help potential ...
Closing Argument for the Defense: The People vs. SEC Division of Enforcement
securitiesdocket.com 2/10/2009 — Ladies and gentlemen of the jury, you have heard the People’s case against the Securities and Exchange Commission’s Division of Enforcement. It now rests in your hands to decide whether this is a guilty party. In a span of less than one year, the public's assessment of the Enforcement ...
Web Watch: Best Blog Posts and Columns For the Week Ending Sept. 18
securitiesdocket.com 9/18/2009 — Here is the weekly summary for Securities Docket’s Web Watch (”This Week’s Best Blog Posts and Columns”): Do Shareholder Class Actions Make Sense? (Michael Orey, BusinessWeek) Business Week | September 18, 2009 Judge Rakoff’s ruling in the SEC-BofA case prompts a question that ...