Results tagged “securities regulation”

FINRA's Fines
By Hester Peirce, June 20, 2014

Second Circuit: Pragmatism Trumps Truth
By Hester Peirce, June 5, 2014

Designating in the Dark
By Hester Peirce, May 17, 2014

Advice with Borders
By Hester Peirce, February 22, 2014

SEC Chairman Speaks Again
By Hester Peirce, October 18, 2013

Stockpiling Penalties
By Hester Peirce, September 26, 2013

FINRA's Profits Should Come With a Price
By Hester Peirce, July 2, 2013

SEC Chair Pushing to Adopt Proposed Rule to Lift Ban on General Solicitation
By Jonathan B. Wilson, April 30, 2013

NY Times piece on SEC political spending rulemaking petition
By James R. Copland, April 25, 2013

When Having 200,000 Friends Is Not Enough
By Hester Peirce, April 3, 2013

Facebook Disappointments
By Hester Peirce, December 21, 2012

Harvey Pitt on the future of the SEC
By Isaac Gorodetski, November 28, 2012

The Carlyle IPO
By Ted Frank, February 6, 2012

Federal district court rejects Citigroup-SEC settlement, sets trial date
By Isaac Gorodetski, November 30, 2011

SEC and Citigroup Anxiously Await Ruling
By Isaac Gorodetski, November 10, 2011

Presenter for trial lawyers: Director of Alabama Securities Commission
By Carter Wood, May 21, 2011

"Whatever Happened to IPOs?"
By Ted Frank, March 24, 2011

Around the web, October 21
By Ted Frank, October 21, 2010

Setting financiers' pay, bailed-out or no?
By Walter Olson, May 14, 2009

Securities law 2008-in-review webcast
By Walter Olson, January 7, 2009