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The preface of Raj Rajaratnam's book: Why I fought the good fight – The Island

The preface of Raj Rajaratnam's book: Why I fought the good fight – The Island
island.lk - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from island.lk Daily Mail and Mail on Sunday newspapers.

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Introducing Stephanie Dumont

Introducing Stephanie Dumont
finra.org - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from finra.org Daily Mail and Mail on Sunday newspapers.

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Digital Sign Meets Opposition From Neighbors

Digital Sign Meets Opposition From Neighbors
timesnewspapers.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from timesnewspapers.com Daily Mail and Mail on Sunday newspapers.

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SEC Enforcement Updates: Interim Director Named; Staff Investigative Powers Bolstered; "Bad Boy" Waivers Less Certain | Goodwin

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The past few weeks have ushered in signs of what’s likely to come from the SEC’s Division of Enforcement under the Biden Administration, including a greater number of investigations and a tougher path to “bad boy” waivers for issuers. The SEC’s enforcement program plays a critical role in the agency’s tripartite mission, especially with respect to the protection of investors. The program, like many other aspects of the SEC, takes many of its cues from the agency’s leadership. At least for now, Acting Chair Allison Lee is at the helm. Before becoming a Commissioner, Lee was a former SEC enforcement staffer and previously served as enforcement counsel to a former Commissioner. ....

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SEC Enforcement Staff Regains Subpoena Power | Burr & Forman

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On February 9, Acting SEC Chair Lee announced she was restoring the delegated authority of Enforcement Division senior officials to issue subpoenas to compel document production and sworn testimony without the need of a Formal Order of Investigation by the full Commission.
Until 2009, the SEC could only issue compulsory process (for document production and testimony) under a Formal Order of Investigation issued by the Commission. In 2009, however, then-Chair Mary Shapiro delegated that authority to the Director of Enforcement for trial period of one year. The Final Order, No. 34-60448 (Aug. 11, 2009) is ....

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