SEC Sets New Policy; Will Go Easier On Market Participants Who
- SEC Enforcement: A Look at the Current Program and Some Thoughts About the 1990s. McLucas, William R.; DeTore, Stephen M.; Colachis, Arian // Business Lawyer;May91, Vol. 46 Issue 3, p797
Examines the focus programs at the enforcement division in the United States Securities and Exchange Commission. Concentration of the enforcement program; Inclusions of the program; Discussion on the characteristics of the program.
- SEC Muni Enforcement Unit, OMS Have Grown in Size and Expertise. Casey, Jack // Bondbuyer.com;9/11/2015, p1
SEC enforcement officials want muni market participants to know that they have 30 people, mostly staff attorneys, in eight offices around the country who have significant expertise in muni issues.
- Bill Would Boost SEC Enforcement, Provide for More Investor Restitution. Hume, Lynn // Bond Buyer;5/22/2003, Vol. 344 Issue 31641, p4
On May 21, 2003, U.S. House Financial Services Committee chairman Michael Oxley and capital markets subcommittee chairman Richard Baker has introduced a legislation that would strengthen the U.S. Securities and Exchange Commission's (SEC) enforcement powers and increase its ability to return...
- Big Brother Is Watching. Conti, Pat S.; Mann, William M. // Traders Magazine;Jan2002, Vol. 15 Issue 191, p18
Reports on the search by the NASD Regulation Inc. (NASDR) for indications and evidence of market manipulation by traders in the United States as of January 2002. Function of POSIT as a watchdog in the market; Number of persons against whom the Securities and Exchange Commission filed...
- The Enforcement of the SEC's Laws. Fedders, John M. // Vital Speeches of the Day;12/1/81, Vol. 48 Issue 4, p111
Presents the text of a speech given by John Fedders, director of the Division of Enforcement of the U.S. Securities and Exchange Commission, on October 8, 1981, which deals with the enforcement of the Commission's law.
- SEC Must Prove It Can Be Watchdog. // Securities Industry News;2/16/2009, Vol. 21 Issue 4, p6
The author offers insights on things to be made by the U.S. Securities and Exchange Commission to defend itself from criticisms from the industry. He notes that the agency needs to fully empowered its enforcement staff to aggressively pursue investigations and should hire more staff. He also...
- The Search for Rules Violations in Piles of Data. Mont, Joe // Compliance Week;Dec2014, Vol. 11 Issue 131, p20
The article focuses on the U.S. Securities and Exchange Commission's (SEC) data analytics approach in its enforcement actions. Topics include the establishment of the Center for Risk and Quantitative Analytics at SEC's Division of Enforcement, the return of an independent Office of Risk...
- Showtime at the SEC. Curtis, Carol E. // Securities Industry News;10/5/2009, Vol. 21 Issue 21, p18
The article presents a discussion of the action taken by state prosecutors and courts in enforcing securities laws where the U.S. Securities Exchange Commission (SEC) and other federal regulators failed to act. It cites, as an example, the case of Richard Cordray, attorney general of Ohio, who...
- SEC Steps Up to the Muni Plate. Ackerman, Andrew // Bond Buyer;6/17/2010, Vol. 372 Issue 33335, p1
The article discusses the move of the Securities and Exchange Commission (SEC) to strengthen its enforcement efforts in the municipal securities market in Philadelphia, Pennsylvania. According to Elaine, SEC's associate regional director, there is a need to step up the enforcement efforts to...