Enforcement: A New Structure to Match a New Strategy? - Segment 2 of 42nd Annual Rocky Mountain Securities Conference Out of Stock
Quantity
May 2010
Segment 2 of 42nd Annual Rocky Mountain Securities Conference
Presentation:
Enforcement: A New Structure to Match a New Strategy?
Panel:
Lorin L. Reisner, Deputy Director, Division of Enforcement, Securities and Exchange Commission, Stephen Luparello, Vice Chairman, FINRA, Fred Joseph, Commissioner, Colorado Division of Securities, and Julie Lutz, Associate Regional Director, Enforcement, Denver Regional Office, Securities and Exchange Commission
Moderated by:
Donald M. Hoerl, Regional Director, Denver Regional Office, Securities and Exchange Commission
Description:
This chapter contains information from the SEC regarding recent changes, as well as a helpful outline of recent SEC enforcement actions. Some of the case law included pertains to financial fraud, cases involving accountants and auditors, cases involving foreign payments, cases involving transfer agents, cases involving hedge funds, cases involving insider trading, cases invloving market manipulation, and much more.
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