TITLE

Enforcement Under the New SEC Regime

AUTHOR(S)
Aguilar, Melissa Klein
PUB. DATE
April 2009
SOURCE
Compliance Week;Apr2009, Vol. 6 Issue 63, p20
SOURCE TYPE
Periodical
DOC. TYPE
Article
ABSTRACT
The article focuses on the working and changes in the U.S. Securities & Exchange Commission (SEC) Enforcement Division under the regime of SEC chairman Mary L. Schapiro. According to former enforcement officers, changes to the agency's enforcement policies were announced by Schapiro in her first weeks on the job. More changes are expected by observers following the announcement of the appointment of Robert Khuzami as the new enforcement director of SEC.
ACCESSION #
37364404

 

Related Articles

  • Executive Summary.  // Venulex Legal Summaries;2009 Q3, Special section p1 

    The article cites the highlights of enforcement actions and developments about broker-dealers from the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and NYSE Regulation during the first half of 2009. The new SEC Division of Enforcement director...

  • THE SEC'S NEW COP ON THE BEAT. Barlas, Stephen // Financial Executive;Dec2009, Vol. 25 Issue 10, p19 

    The article discusses the enforcement activities of the U.S. Securities and Exchange Commission (SEC) under chairman Mary Schapiro and enforcement director Robert Khuzami. Pursuing senior corporate officials who engage in wrongdoing has become a top priority at the SEC. Both former American...

  • Schapiro Acts to Beef Up SEC Enforcement Process. Aguilar, Melissa Klein // Compliance Week;Apr2009, Vol. 6 Issue 63, p13 

    The article reports that Mary Schapiro, Securities & Exchange Commission's (SEC) new chairman, has announced the end of it's two-year "penalty pilot" program. As stated, this program required the enforcement staff to obtain special approvals in cases involving civil monetary penalties for public...

  • Acid test. Carlino, Bill // Accounting Today;5/24/2010, Vol. 24 Issue 6, p3 

    The article argues that the U.S. Securities and Exchange Commission's (SEC) filing of charges against Goldman Sachs for its allegedly fraudulent Abacus 2007-AC1 collateralized debt obligations (CDO) could mend the agency's tattered reputation and uphold its mission of being the investor's...

  • Attack of the 5'2'' blonde girl. Nusbaum, David // Futures: News, Analysis & Strategies for Futures, Options & Deri;Jan1995, Vol. 24 Issue 1, p66 

    Focuses on the toughness of Commission Futures Trading Commission's (CFTC) new chairman Mary Schapiro.

  • Espy's end.  // Futures: News, Analysis & Strategies for Futures, Options & Deri;Nov94, Vol. 23 Issue 13, p12 

    Reports on the Senate's confirmation of Securities Exchange Commissioner Mary Schapiro as Commodity Futures Trading Commission chairman. Earlier blockage on her confirmation by Senator Jesse Helms.

  • Mary Schapiro unplugged. Nusbaum, David; Szala, Ginger // Futures: News, Analysis & Strategies for Futures, Options & Deri;Jan1995, Vol. 24 Issue 1, p64 

    Interviews Commodity Futures Trading Commission's (CFTC) new Chairman Mary Schapiro on the vital issues affecting today's futures industry. Brief background on Schapiro.

  • SEC Beefs Up Enforcement with Specialists, Staff and Tools. Mitchell, Donna // Investment Management Weekly;1/14/2010, p2 

    The article announces appointments at the U.S. Securities and Exchange Commission's enforcement division, including Bruce Karpati and Robert Kaplan as head of the division and Daniel Hawke as head of market abuse.

  • The Past Year's Top SEC Enforcement Events. VOLLMER, ANDREW N.; DAVISON, DOUGLAS J.; MOWELL, HEATHER // Financial Fraud Law Report;May2013, Vol. 5 Issue 5, p387 

    The article examines the important enforcement events brought by the U.S. Securities and Exchange Commission's (SEC's) Division of Enforcement in 2012. SEC's continued focus on delinquent filings such as insider trading actions which represent the highest number of insider trading actions filed...

Share

Read the Article

Courtesy of NEW JERSEY STATE LIBRARY

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics