SEC's Cutler Calls for Additional Authority on Civil Penalties
- "Wildcatting" for Fraud: A New Investigative Approach by SEC Enforcement? Baker III, William R.; Brodsky, David M.; Kelly-Najah, Noreen A.; Shapiro, Alexandra // Venulex Legal Summaries;2004 Q2, p1
The article discusses wildcatting, an approach used by the U.S. Securities and Exchange Commission (SEC) to investigate systemic problems in industries and markets. It presents the criticisms received by the SEC during crises in the securities markets. It also presents statements on wildcatting...
- Thomsen Named Director of Enforcement Division. Hume, Lynn // Bond Buyer;5/13/2005, Vol. 352 Issue 32132, p5
This article reports that Linda Chatman Thomsen was named director of the Securities and Exchange Commission's (SEC) enforcement division, becoming the first woman appointed to the post on a non-interim basis since the SEC was created in 1934, Thomsen, 50, deputy director of the division since...
- SEC Names Adler to Enforcement Unit's Litigation Team. Hume, Lynn // Bond Buyer;8/26/2004, Vol. 349 Issue 31956, p5
Reports that the U.S. Securities and Exchange Commission has appointed Mark A. Adler to become deputy chief litigation counsel of the agency's enforcement division, replacing Peter H. Bresnan. Remarks of agency officials, Stephen M. Cutler and David L. Kornblau, on the hiring of Adler for the...
- SEC's Cutler Returning to Former Law Firm. Ferris, Craig T. // Bond Buyer;6/30/2005, Vol. 352 Issue 32165, p5
Reports on the return of Stephen M. Cutler to the law firm Wilmer Cutler Pickering Hale and Dorr after serving as head of the enforcement division of the U.S. Securities and Exchange Commission (SEC). Responsibilities of Cutler in the firm; Achievements during his tenure at the SEC; Advantages...
- Stephen Cutler, SEC's Top Cop, to Leave Commission. Hume, Lynn // Bond Buyer;4/15/2005, Vol. 352 Issue 32112, p4
Reports on the resignation plan of Stephen M. Cutler, law enforcement offer of the Securities and Exchange Commission (SEC)in the U.S. Selection of Linda C. Thomsen as SEC enforcement director on a non-temporary basis; Leadership in the agency's crackdown against illegal initial public offering...
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.
- SEC proposal for abbreviated financial statements put on... // CPA Journal;Dec95, Vol. 65 Issue 12, p11
Reports on reactions to Securities and Exchange Commission's (SEC) proposal for abbreviated financial statements. Details of proposal; Examination of reactions; Background information on SEC; Views from officials.
- The SEC's Annual Report to Congress. Coffey, William J.; Illiano, Gary // CPA Journal;Dec95, Vol. 65 Issue 12, p42
Presents information on the 1994 annual report of the Securities and Exchange Commission (SEC) to Congress. Brief history on SEC; Contact points for SEC's 1994 Annual Report to Congress; Information on report. INSET: SEC proposed rules for use of abbreviated financial statements...
- Investing made easier. // Consumer Reports;Oct95, Vol. 60 Issue 10, p637
Features the short form prospectus approved by the US Securities and Exchange Commission. Content; Disadvantages; Companies using the short-form prospectus in tandem with the full-length version.