SEC ENFORCEMENT TRENDS 2011

SEC Enforcement Division Produces Record Results in ...

The agency filed a total of 146 enforcement actions related to investment advisers and investment companies, a single-year record and 30 percent ...

The reach of enforcement; The SEC in court; Significant market crisis cases; Focus on insider trading; The new era of FCPA enforcement; Financial fraud cases ...

SEC ENFORCEMENT TRENDS 2011 – SEC ACTIONS

This is the first in a series of articles that will be published periodically analyzing the direction of SEC enforcement. The Securities and Exchange ...

The Top 10 SEC Enforcement Events of 2011 | WilmerHale

The Division continued its three-year trend of increased activity by filing a record 735 enforcement actions in fiscal year 2011. The ...

SEC enforcement cases hit record high in 2011 - Reuters

The bulk of the SEC's cases for the year came in its traditional areas of enforcement. It brought 146 actions against investment advisors ...

SEC's Enforcement Program Continues to Show Strong Results in ...

Building on last year's record results, the Securities and Exchange Commission today announced that it filed 734 enforcement actions in the ...

2011 Mid-Year Securities Enforcement Update

In 2011 the SEC has continued to focus on the expert networks industry. In February 2011, the SEC filed a civil suit against two employees of “ ...

SEC enforcement trends 2011: regulated entities - Lexology

The Commission has brought a number of significant cases involving regulated entities in recent months. The cases can be grouped into three ...

FY 2011 Congressional Justification - SEC.gov

... enforcement actions filed within two years of opening an investigation or inquiry. In conducting investigations, the enforcement program continually strives ...

SEC enforcement trends 2011: the SEC in court - Lexology

SEC enforcement trends 2011: the SEC in court · Wins in court. In SEC v .Jasper, Case No. CV-08-6122 (N.D. · Losses in court. Defense verdicts ...

SEC Enforcement Division completes most productive year in its ...

During fiscal 2011 (Oct. 1, 2010 to Sept. 30, 2011), the SEC brought a record 735 enforcement actions more cases than it has ever filed in a ...

SEC Enforcement Actions – October, 2011 - Russell L. Forkey, P.A.

The Securities and Exchange Commission periodically announces enforcement actions that have recently been filed by it. Periodically, we review ...

SEC Enforcement Actions Against Outside Directors Offer Reminder ...

The SEC enforcement actions were against four independent directors at two publicly traded companies. While these actions reflect the SEC's ...

SEC Penalizes Investment Advisers for Compliance Failures

28, 2011 — The Securities and Exchange Commission today charged three investment advisers for failing to put in place compliance procedures ...

SEC Announces Record Number of Enforcement Actions for Fiscal ...

For the fiscal year ending September 30th, the SEC stated it filed a record 735 enforcement actions – a 9% increase from 2010 – with more than ...

The Valuation Impact of SEC Enforcement Actions on Nontarget ...

This study shows that the Securities and Exchange Commission's (SEC) enforcement intensity toward the foreign firms under its jurisdiction ...

SEC News Digest, September 26, 2011

Enforcement Proceedings. In the Matter of James M. Peister. On ... Trends Inc 2.05,9.01 09/23/11 CITIZENS & NORTHERN CORP PA 8.01 09/22 ...

Reporting Agency Performance: Behind the SEC's Enforcement ...

... 2011 2013. No. of Enforcement Actions. Aggregate penalties (in 2014 $). In Part ... of SEC enforcement trends since they probably are meaningless. But ...

Enforcement Actions - OCC.gov - Treasury

... 2011, are only available in the OTS Enforcement Order Archive (XLS). For ... Securities and Exchange Commission: federal securities laws. Enforcement ...

SEC Charges Multiple Hedge Fund Managers with Fraud in Inquiry ...

The SEC has filed several enforcement actions to date stemming from this initiative. ... 2011/2011-252.htm. Home | Previous Page. Modified ...