Analysis of cutting-edge securities industry issues
Recently, SEC Commissioner Daniel Gallagher stated that he was not in favor of allowing the Commission to retroactively impose a collateral bar.
Although there certain administrative proceedings have looked into…
Continue Reading SEC Commissioner Comes Out Against Retrospective Collateral Bars
The SEC Enforcement Division’s chief accountant has gone on record as saying that, in every SEC accounting case, the SEC Staff reviews auditor conduct.
The chief accountant stated that the SEC Staff…
In its continuing enforcement onslaught on firms emanating from China, the SEC filed another action in the United States District Court for the Western District of Louisiana against a Chinese…
Just a few short weeks ago, the SEC launched an administrative action against an on-line futures and options brokerage and clearing agency, as well as its senior executive for engaging…
Recently, the SEC Enforcement Director was promoting the SEC’s successes, offering credit to the restructuring and hiring of securities specialists that he undertook.
The Enforcement Director also indicated that the 37 cooperation…
We wanted to share with you a great article co-authored y one of our partners, Alain Leibman, along with our colleague, Jana Volante. The article’s title is “Attacking Eyewitness Identification Testimony, in…
Continue Reading Great Criminal Law Submissions by Our Fox Colleagues
Ernie Badway and Dan Schnapp have authored the article, “The Problem with SEC Obey-the-Law Injnuctions and Their Chances of Survival,” in the most recent edition of the Journal of Taxation…
Continue Reading Badway and Schnapp Author Article on SEC Obey-the-Law Injunctions
The battle lines are being drawn over Congressman Bachus’ bill which would authorize one or more self-regulatory organizations for investments advisers. Many have believed that FINRA would be the obvious choice…
