The Commission filed two settled administrative proceedings involving Western Asset Management Co., a subsidiary of Legg Mason, Inc. One centered on
The SEC settled another significant market crisis case at the close of last week when the founder and president of investment advisory firm ICP Asset Management, Thomas C. Priore and his firm, along with the related entities, agreed to settle a fraud action brought over two years ago.
The SEC filed another case tied to the market crisis and Bernard Madoff last week.
Insider trading is a key focus of SEC enforcement.
As the summer draws to a close and fall approaches the SEC announced it would not appeal the recent ruling striking down its proxy access rule.
The SEC filed another “suspicious purchases” insider trading case.
The SEC continued implementing Dodd-Frank this week.
The SEC resolved an action with Morgan Keegan and two of its officers based on the fraudulent pricing of subprime real estate mortgage backed securities.
Is the SEC heading for another confrontation with the court?
The Commission took another step last week in its continuing efforts to speed up the investigative process.