Stock option backdating

SEC policy statement re: news reporter subpoenas

US SEC and UK FSA in cooperation arrangement

US Chamber of Commerce report criticizes SEC 

Commissioner Atkins speech   2.16.06

SEC issues standards for imposing financial penalties

11th Circuit overturns standard SEC injunction

Linda Chatman Thomsen
Director, Division of Enforcement

• Stanford Law School Directors' College  6.26.07
• Mutual Fund Directors Forum 4.12.07
• Press Conference  3.26.07
• Investment Adviser Association  3.22.07
• 2007 Corporate Counsel Institute  3.08.07
• "Operation Spamalot" Press Conference  3.08.07
• Re: SEC v. Guttenberg  3.01.07
• NASPP Conference  10.13.07

Paul S. Atkins
SEC Commissioner

• Fordham University Law School  10.09.07

• Includes historical information on Enforcement Division and the Wells Committee Review in 1972
• I think it is clear that this would be a good time for a new "Wells-like" advisory committee to review the policies and procedures of our enforcement program. The Commission and the staff should welcome, not fear, such a review.

Law firms

• Wachtell Lipton  5.16.07
• Wachtell Lipton  6.27.06

Securities Act 8A 8A
Cease-and-Desist Proceedings

Securities Act 9
Court Review of Orders

Securities Act 20
Injunctions and Prosecution of Offenses

Securities Act 21
SEC Hearings

Waivers - Regulation A / Regulation D Rule 505

• Legg Mason Wood Walker  9.21.05
• Smith Barney Fund Management  5.31.05
• Citigroup Global Markets  3.23.05
• CIBC Mellon Trust  3.02.05
• CIBC Mellon Trust  2.24.05
• Morgan Stanley  2.04.05

SEC Enforcement