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bcarton posted by bcarton vote down flag
SEC Heal Thyself: Compliance Program Revamped
securitiesdocket.com - 6/9/2009
SEC Heal Thyself: Compliance Program Revamped
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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 ...
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
Securities Docket A.M. News Wire for June 3, 2009
securitiesdocket.com - 6/3/2009
Securities Docket A.M. News Wire for June 3, 2009
— securitiesdocket.com — 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 ... (more) Securities Docket A.M. News Wire for June 3, 2009

Comments vote down bcarton bcarton posted 6/3/2009posted this
theconglomerate.org - 6/5/2009
More on Sotomayor's Securities Law Record
— theconglomerate.org — 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 ... (more) More on Sotomayor's Securities Law Record

Comments vote down Securities Docket found this 6/5/2009found this
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