dealbook.blogs.nytimes.com - 3/16/2009
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The Securities and Exchange Commission said it will meet on April 8 to consider whether to propose "short sale price test rules," which could include reinstating the so-called "uptick rule," Reuters reports.
The S.E.C. issued a brief agenda for the meeting, but did not provide details on what it ...
securitiesdocket.com - 3/11/2009
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securitiesdocket.com —
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Transcript: March 11, 2009 Prepared Testimony of SEC ...
sec.gov - 3/9/2009
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sec.gov —
FOR IMMEDIATE RELEASE 2009-51 Washington, D.C., March 9,
2009— The Securities and Exchange Commission today charged a...
money manager with offices in New York and Rhode Island for falsely creating a billion-dollar client in order to gain credibility and ...
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Press Release: SEC Charges Investment Adviser For ...
valueplays.blogspot.com - 3/13/2009
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valueplays.blogspot.com —
To then SEC Commissioner Chris Cox dates 12/16/2008.
Analysis of Short Selling Activity Publish at Scribd or...
explore others: Academic Work Disclosure ("none" means no position): Visit the ValuePlays Bookstore for Great Investing Books Enter ...
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SEC Report on Short Selling
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THE FINTAG NEWSLETTER @ 16 March 2009
FiNTAG - Hedge Fund News, Views, Opinions and Gossip —
... Fintag says I am feeling vindicated. Was I the only person who saw through the Boring O? He is a lawyer, reads scripts well and smokes. That is it. The fact Bush had a higher approval rating at this stage of the presidency is hilarious! S.E.C. PLANS MEETING ON REVISING SHORT-SELLING RULES dealbook ...
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SEC ’s “Wish List” of 42 Changes It Seeks in the Federal Securities Laws.
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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 Examining Oversight of Credit Rating Agencies
ritholtz.com 4/2/2009 — Looks like an interesting panel — anyone near D.C. on April 15 should consider going . . .
10:10 a.m. — Panel One: Current NRSRO Perspectives: What Went Wrong and What Corrective Steps Is the Industry Taking?
Daniel Curry, DBRS
Sean ...
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 ...
Madoff Claimed He Was "On The Short List" To Be Next SEC Chairman
huffingtonpost.com 9/3/2009 — Bernard Madoff once boasted that he "was on the short list" to be the next chairman of the Securities and Exchange Commission, according to a report issued Wednesday by the agency's internal watchdog. The blistering report offers new details into how ...
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