Entries tagged "SEC"

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12 result(s) displayed (145 - 156 of 206)

Swimming in a dark pool

Anonymous trading platforms know as dark pools face the SEC's scrutiny because they create an unfair advantage for traders. Needless to say, Wall Street doesn't see it that way. Continue reading

Posted on October 30, 2009 11:44 AM

To catch a thief

Here are some other reasons why the SEC did not catch Bernard Madoff. Continue reading

Posted on October 16, 2009 10:44 AM

Open source

In the nine years since its adoption by the SEC, Reg FD enforcement has offered many lessons. Continue reading

Posted on October 2, 2009 1:28 PM

Harvey Pitt recalls 9/11: Decade of The Deal

Then-SEC Chairman Pitt discusses efforts to bring New York's financial exchanges back to life after the Sept. 11 terrorist attacks. Continue reading

Posted on September 10, 2009 3:48 PM

O'Melveny & Meyers' Epstein on proxy access

Opposition to the SEC's proposed proxy access rule is solidifying. In this edition of Inside The Deal, Steve Epstein, a partner with O'Melveny & Myers, explains how the new rules could impact boards and, ultimately, corporate strategy. Continue reading

Posted on August 27, 2009 11:14 AM

The Cuban missive crisis

Practical implications for premarketed offerings, PIPE offerings and regulation FD compliance. Continue reading

Posted on August 14, 2009 1:42 PM

Alpha male eats crow

Geithner yells at bank regulators, but they keep opposing the administration's overhaul plans anyway. Continue reading

Posted on August 7, 2009 10:38 AM

A cautionary tale

The SEC, in light of Perry's disclosure failure, seems willing to institute enforcement actions against investors who allegedly violate disclosure requirements. Continue reading

Posted on August 3, 2009 3:12 PM

Movers & shakers: July 20, 2009

Oppenheimer & Co. tapped Michael Murphy and Tom Mulkeen as managing directors in the taxable fixed-income sales and trading department. They will report to Robert... Continue reading

Posted on July 20, 2009 12:00 AM

Uncle Sam: A most effective shareholder activist?

Corporate America ought to keep a collective eye on the regulatory reform agenda brewing in Congress and at several oversight agencies. Continue reading

Posted on July 13, 2009 2:24 PM

Show me the money and how to get it

Companies raising capital have had the ability to offer and sell a combination of securities very quickly under their universal shelf registration statements. Continue reading

Posted on July 8, 2009 1:30 PM

Distressed Investing 2009 Video: Harvey Pitt on Madoff and reforming regulation

Harvey Pitt on reforming regulation after Bernard Madoff's Ponzi scheme. Continue reading

Posted on June 30, 2009 1:45 PM

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