Enforcement 2014 : perspectives from government agencies

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Where to find it

Law Library — 2nd Floor Collection (2nd floor)

Call Number
KF1063.Z9 E64 2014
Status
Available

Authors, etc.

Names:

Contents

Partial contents: SEC Enforcement Trends / Colleen P. Mahoney Skadden, Arps, Slate, Meagher & Flom LLP Charles F. Walker Skadden, Arps, Slate, Meagher & Flom LLP Erich T. Schwartz Skadden, Arps, Slate, Meagher & Flom LLP Andrew M. Lawrence Skadden, Arps, Slate, Meagher & Flom LLP -- CFTC Anti Fraud and Anti Manipulation Enforcement Authority / Kenneth M. Raisler Sullivan & Cromwell LLP -- Outline of Selected SEC Enforcement Actions, October 2013 / David Woodcock U.S. Securities and Exchange Commission -- PLI Enforcement 2014: Perspectives from Government Agencies, Legal and Policy Developments / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- SEC v. Citigroup Global Markets Inc., 827 F. Supp. 2d 328 (S.D.N.Y. 2011) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- SEC v. Citigroup Global Markets Inc., 673 F.3d 158 (2d Cir. 2012) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- Public Statement by SEC Staff: Recent Policy Change, Robert Khuzami, Director of the SEC s Division of Enforcement, U.S. Securities and Exchange Commission, Jan. 7, 2012 / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- SEC Speech by Chair Mary Jo White, Deploying the Full Enforcement Arsenal, Council of Institutional Investors Fall Conference in Chicago, IL, Sept. 26, 2013 / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- SEC Press Release No. 2014 17, Scottrade Agrees to Pay $2.5 Million and Admits Providing Flawed Blue Sheet Trading Data, Jan. 29, 2014 / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- Recent Work of the Public Company Accounting Oversight Board: 2013 and the First Part of 2014 / J. Gordon Seymour Public Company Accounting Oversight Board -- SEC Press Release No. 2012 249, SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws in Refusing to Produce Documents, Dec. 3, 2012 / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- Memorandum of Understanding Between the Public Company Accounting Oversight Board of the United States and The China Securities Regulatory Commission and The Ministry of Finance of China / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- SEC v. Deloitte Touch Tohmatsu CPA Ltd., No. 11 mc 00512 GK, (D.D.C. Jan. 27, 2014), Joint Motion to Dismiss Without Prejudice / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- In the Matter of BDO China Dahua CPA Co., Ltd., et al. SEC Admin. Proceeding Nos. 3 14872 and 3 15116 (Jan. 22, 2014), Initial Decision (Public) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- Memorandum To Staff of the Rulewriting Divisions and Offices From RSFI and OGC Re: Current Guidance on Economic Analysis in SEC Rulemakings, March 16, 2012 / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- WilmerHale Publications & News, Conflict Minerals A Summary of the SEC s Final Rules, September 21, 2012 / Thomas W. White Wilmer Cutler Pickering Hale and Dorr LLP Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP Jonathan Wolfman Wilmer Cutler Pickering Hale and Dorr LLP -- National Association of Manufacturers v. SEC, No. 13 cv 635, 2013 WL 3803918 (D.D.C. July 23, 2013) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- American Petroleum Institute v. SEC, No. 12 cv 1668, 2013 WL 3307114 (D.D.C. July 2, 2013) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- SEC Press Release No. 2013 207, SEC Charges Three Auditors in Continuing Crackdown on Violations or Failures by Gatekeepers, Sept. 30, 2013 / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- NYCLA Committee on Professional Ethics, Formal Opinion 746, Ethical Conflicts Caused by Lawyers as Whistleblowers Under the Dodd Frank Wall Street Reform Act of 2010, October 7, 2013 / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- Bloomberg BNA, Securities Regulation & Law Report, SEC Enforcement Developments: Renewed Focus on Lawyers / William McLucas Wilmer Cutler Pickering Hale and Dorr LLP Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- U.S. v. Countrywide Financial Corp., No. 12 cv 1422, 2013 WL 4437232 (S.D.N.Y. Aug. 16, 2013) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- U.S. v. Wells Fargo Bank, No. 12 cv 7527, 2013 WL 5312564 (S.D.N.Y. Sept. 24, 2013) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- U.S. v. Bank of New York Mellon, 941 F. Supp.2d 438 (S.D.N.Y. 2013) / Mark D. Cahn Wilmer Cutler Pickering Hale and Dorr LLP -- Altman v. SEC, 666 F.3d 1322 (D.C. Cir. 2011) / Dixie L. Johnson King & Spalding -- Securities Enforcement Zealous Advocacy and Offending the SEC: The SEC s Lawyer Discipline Program, INSIGHTS, The Corporate and Securities Law Advisor, Volume 26, Number 10, October 2012 / Dixie L. Johnson King & Spalding -- Update on the SEC s Lawyer Disciplinary Program / Dixie L. Johnson King& Spalding -- In the Matter of David M. Tamman, Esq., SEC Release No. 63785/January 27, 2011, Administrative Proceeding File No. 3 14207, Order Instituting Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) / Dixie L. Johnson King & Spalding -- In the Matter of David M. Tamman, Esq., SEC Release No. 69746/June 12, 2013, Administrative Proceeding File No. 3 14207, Order Making Findings and Denying Privilege to Appear or Practice Before the Commission by Default / Dixie L. Johnson King & Spalding -- U.S. Attorney s Office, S.D.N.Y. Press Release: Joseph Collins, Principal Attorney for Former Commodities Firm Refco, Sentenced in Manhattan Federal Court to One Year and One Day in Prison for Securities Fraud, July 15, 2013 / Dixie L. Johnson King & Spalding -- The Association of the Bar of the City of New York Committee on Professional and Judicial Ethics, Formal Opinion 2004 02, Representing Corporations and Their Constituents in the context of Governmental Investigations / Dixie L. Johnson King & Spalding -- NYCLA Committee on Professional Ethics, Formal Opinion 746, Ethical Conflicts Caused by Lawyers as Whistleblowers Under the Dodd Frank Wall Street Reform Act of 2010, October 7, 2013 (SEE CHAPTER 20) / Dixie L. Johnson King & Spalding -- Speech by SEC Staff, Remarks to Criminal Law Group of the UJA Federation of New York, by Robert S. Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission, New York City, June 1, 2011 / Dixie L. Johnson King & Spalding -- Excerpt from the Securities and Exchange Commission Enforcement Manual, October 9, 2013, Section 4.3 Waiver of Privilege / Dixie L. Johnson King & Spalding -- Excerpt from the United States Attorneys Manual, Section 9 28.000 Principles of Federal Prosecution of Business Organizations / Dixie L. Johnson King & Spalding.

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