securitiesdocket.com - 6/3/2009
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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 ...
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 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 ...
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 ...
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.
...
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, ...
Today’s Testimony of SEC Chairman Mary Schapiro Before Senate Subcommittee
securitiesdocket.com 6/2/2009 — 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 ...
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 ...
Securities Docket A.M. News Wire for 2009-09-03
securitiesdocket.com 9/3/2009 —
Madoff Claimed He Was On "Short List" To Be SEC Chairman http://bit.ly/W00MU #
Schapiro: Statement on the Release of the Executive Summary of the IG's Report regarding the Madoff Fraud http://bit.ly/17nKfA #
Executive Summary of SEC IG’s Madoff Report Now Available ...
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 ...
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 ...
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