Submit a Story!
Votes
topics:

vote down flag
theconglomerate.org - 6/5/2009
More on Sotomayor's Securities Law Record
—
Out of curiosity, I pulled the cases that Sotomayor decided as a trial judge or reviewed as an appellate judge that had Section 10(b)/Rule 10b-5 of the Securities Exchange Act as at least one issue. For these purposes, I did not include either cases involving other sections (a handful of ...
sec.gov - 6/4/2009
Press Release: SEC Charges Former Countrywide Executives With Fraud; 2009-129; June 4, 2009
— sec.gov — Former CEO Angelo Mozilo Additionally Charged With Insider Trading FOR IMMEDIATE RELEASE 2009-129 Washington, D.C., June 4,... 2009— The Securities and Exchange Commission today charged former Countrywide Financial CEO Angelo Mozilo and two other former ... (more) Press Release: SEC Charges Former Countrywide Executives ...

Comments vote down FT Alphaville found this 6/4/2009found this
SEC Heal Thyself: Compliance Program Revamped
securitiesdocket.com - 6/9/2009
SEC Heal Thyself: Compliance Program Revamped
— securitiesdocket.com — The Securities and Exchange Commission just hasn’t had enough bad news recently, so last month the media... piled on even more: a probe of insider-trading allegedly going on inside the SEC. Specifically, the agency’s inspector general has found evidence of “suspicious activity, appearances of ... (more) SEC Heal Thyself: Compliance Program Revamped

Comments vote down bcarton bcarton posted 6/9/2009posted this
Today’s Testimony of SEC Chairman Mary Schapiro Before Senate Subcommittee
securitiesdocket.com - 6/2/2009
Today’s Testimony of SEC Chairman Mary Schapiro Before Senate Subcommittee
— securitiesdocket.com — Today, SEC Chairman Mary Schapiro testifies before the U.S. Senate Committee on Appropriations’ Subcommittee on Financial Services... and General Government. A copy of her prepared testimony is available here. Key sections of her testimony are laid out below: »»REINVIGORATING SEC ... (more) Today’s Testimony of SEC Chairman Mary Schapiro Before ...

Comments vote down bcarton bcarton posted 6/2/2009posted this

Blog Reactions

Securities Docket:  Web Watch: Best Blog Posts and Columns For the Week Ending June 5

Comments
Blog Reactions

Web Watch: Best Blog Posts and Columns For the Week Ending June 5
Securities Docket — ... The CONGLOMERATE (June 5, 2009): More on Sotomayor’s Securities Law Record ...

Related Content
SEC Self-Funding: The Time Has Come
feedproxy.google.com 9/9/2009 — B. Carton As I argued in this column last month, the Securities and Exchange Commission budget has been well below where it should be for several years. This shortfall has caused the SEC to suffer a 10 percent reduction in staff and a cut of more than 50 percent in its new technology ...
How the New SEC Enforcement Director Can Help Restore Investor Confidence
securitiesdocket.com 4/14/2009 — by Bruce Carton Robert Khuzami began his new job as director of the Enforcement Division at the Securities and Exchange Commission on March 30. His arrival marks the first change in leadership for the Enforcement Division since 200 Khuzami joins the SEC from Deutsche Bank AG in New York, ...
The SEC
blogmaverick.com 11/30/2008 — First let me say that this has nothing to do with me, but given my interest in all things financial and the government during this financial crisis, I read with interest the Office of Inspector General’s Report to Congress regarding the SEC.  ...
Fiscal Year 2009: The SEC’s Year from Hell
securitiesdocket.com 10/14/2009 — 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 ...
America's Fear of Competition
tbm.thebigmoney.com 1/24/2009 — Although everybody claims to love the market, nobody  really  likes the rough-and-tumble of competition that produces the essential "creative destruction" of capitalism. At bottom, this abhorrence of competition and change are the common theme that ...
Specialization Key to SEC Enforcement Division Overhaul
securitiesdocket.com 5/5/2009 — by Bruce Carton In a column last month, I noted the arrival of a new Securities and Exchange Commission enforcement director, Robert Khuzami (pictured below). I suggested that Khuzami had to hit the ground running and discussed the flood of suggestions from within the SEC and from the outside ...
SEC looks to reassure investors (Reuters)
news.yahoo.com 2/8/2009 — Reuters - Securities and Exchange Commission officials looked to reassure investors on Friday that they would reinvigorate the agency's policing of Wall Street, improve the quality of credit ratings and said they expect to bring more cases against ...
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 ...
On SEC Funding, Congress Must Put Up or Shut Up (or Give Up and Allow Self-Funding)
securitiesdocket.com 8/11/2009 — Back in January, U.S. Rep. Gary Ackerman (D-N.Y.) was recognized to speak at a House sub-committee hearing about the Madoff Ponzi scheme and the need for better regulatory oversight to prevent such fraud. He promptly lashed out at a witness from the Securities and Exchange Commission, stating: ...
Fixing the SEC
ritholtz.com 10/1/2009 — The problems at the SEC were decades in the making. Essentially the largest prosecutor’s office in the country, they have been undercut at every turn: Their staffing was far too small to handle the jurisdiction (Wall Street and corporate ...
Wonk Watch — The Big Money
Brad DeLong Took the day off. Paul Krugman Took the day off. Barry Ritholtz Nothing of especial wonkiness but did link to this above-average what-caused-the-collapse chart that made it into his book. Felix Salmon Thanks to all these ...