Search
Searching Content indexed under Securities by Douglas J. Davison ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
SEC Adopts Rules On Non-US Firms That "Arrange, Negotiate, Or Execute" Security-Based Swaps In The US
On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market.
United States
15 Feb 2016
2
2015 CFTC Year-in-Review, and a Look Forward
CFTC continues to bring high-profile, large-penalty enforcement cases; begins bringing cases to enforce Dodd-Frank Act implementing regulations; and embarks on post-Dodd-Frank Act regulatory initiatives.
United States
26 Jan 2016
3
Litigating With The SEC
The SEC has made clear that it welcomes the possibility of having more cases proceed to litigation and has the resources it needs to take hard cases to trial.<
United States
20 Jul 2015
4
Litigating With—And At—The SEC
Last year, the Enforcement Division of the SEC announced its intention to bring more enforcement actions in its own administrative forum rather than in federal court.
United States
27 May 2015
5
Top SEC Enforcement Events Of 2014
This past fiscal year, ending September 30, 2014, was an active one for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC").
United States
27 Feb 2015
6
2014 CFTC Enforcement Year-In-Review, And A Look Forward
In 2014, the Commodity Futures Trading Commission ("CFTC" or the "Commission") filed 67 new enforcement cases
United States
11 Feb 2015
7
Keeping Current: SEC Enforcement Actions Emphasize Importance Of Stock Ownership Reporting Obligations For Public Companies And Insiders
On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors, and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
8 Dec 2014
8
Should Old Subpoena Compliance Rules Apply In The Digital Age?
For many years, the U.S. Securities and Exchange Commission (SEC) and other administrative agencies have routinely issued subpoenas to employers requesting any and all documents in an employer's possession, custody or control sent or received by particular employees within a specified date range.
United States
5 Nov 2014
9
SEC Enforcement Actions Emphasize Importance Of Stock Ownership Reporting Obligations For Public Companies And Insiders
On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
9 Oct 2014
10
Should a Defendant Be Forced To Disgorge What He Never Possessed?
To the considerable arsenal of remedies already possessed by the Securities and Exchange Commission the U.S. Court of Appeals for the Second Circuit has recently added another: ..
United States
29 Apr 2014
11
SEC To Examine Cybersecurity Preparedness At More Than 50 Registered Broker-dealers And Investment Advisers
On April 15, 2014, the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a "Risk Alert" announcing steps being taken by the OCIE to assess cybersecurity preparedness in the securities sector.
United States
23 Apr 2014
12
Top Five SEC Enforcement Events In 2013
This article reviews a selection of the top five Securities and Exchange Commission Enforcement events of 2013.
United States
13 Mar 2014
13
Update: SEC's Financial Reporting And Audit Task Force
On February 11, Margaret McGuire, Vice Chair of the US Securities and Exchange Commission's (SEC) Financial Reporting and Audit Task Force (Task Force), participated in a DC Bar panel discussion to review the objectives, administration and early initiatives of the Task Force since its formation was announced by the SEC last July.
United States
20 Feb 2014
14
2013 CFTC Enforcement Year-in-Review, And A Look Forward
In recent years, the Commodity Futures Trading Commission ("CFTC" or "Commission") has brought cases of ever-greater significance, against respondents with greater name recognition, for consistently increasing civil monetary penalties.
United States
6 Feb 2014
15
SEC Enforcement Developments: Renewed Focus On Lawyers
The Securities and Exchange Commission Enforcement Division staff has a long history of scrutinizing lawyers’ conduct during its investigations.
United States
29 Oct 2013
16
Update: Tourre Extends SEC's Reach For Foreign Transactions Involving Domestic Offerings
A recent decision by Judge Katherine Forrest of the U.S. District Court for the Southern District of New York clarified the scope of the Securities and Exchange Commission's (the ''SEC'') ability to pursue fraud charges in foreign securities transactions involving domestic offerings
United States
16 Sep 2013
17
Update: "Tourre" Extends SEC’s Reach For Foreign Transactions Involving Domestic Offerings
A recent decision by Judge Katherine Forrest of the U.S. District Court for the Southern District of New York clarified the scope of the Securities and Exchange Commission’s ability to pursue fraud charges in foreign securities transactions involving domestic offerings.
United States
30 Jul 2013
18
Recent Court Decisions Reveal Litigation Challenges For SEC
Although there are many factors to consider when deciding whether or not to litigate a case with the SEC, these recent decisions should give some encouragement to the SEC's opponents.
United States
15 Mar 2013
19
String Of Recent Circuit Court Opinions Impact SEC Enforcement Program
Four federal circuit courts recently issued a string of rulings that are likely to have an impact on the manner in which the Securities and Exchange Commission seeks to police the financial markets and penalize alleged misconduct.
United States
14 Sep 2012
Links to Result pages
 
1