SEC Chairman Elise Walter and CFTC Chairman Gary Gensler testified before a Senate Committee this week, focusing on the implementation of Dodd-Frank. The SEC also approved the budget for the PCAOB.
Two former senior executive in the organization of...
This week three Galleon related defendants were sentenced to prison for insider trading, including Raji Rajaratnam. The Commission filed another significant market crisis case naming the senior officers of a failed bank as defendants. The Commission also...
The SEC continued implementing Dodd-Frank this week. New rules were issued regarding hedge fund registration and exemptions.
SEC enforcement resolved two significant market crisis cases this week. In one the agency filed a settled action against J...