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Developments
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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
-
SEC v Smyth 8.10.05
- See footnote
14 at page 17
- Overturns standard
SEC "obey the law" injunction
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SEC Speeches
SEC_CODE_REF_0090001192884
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Linda
Chatman Thomsen
Director, Division of Enforcement
Paul
S. Atkins
SEC Commissioner
- 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.
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Commentary
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Law
firms
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Statutes
SEC No-Action Letters
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Waivers
- Regulation A / Regulation D Rule 505
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Related Topics
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