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Enforcement 2014: Perspectives from Government Agencies
Chair(s):
Linda Chatman Thomsen, Richard D. Owens, Joan E. McKown
Practice Area:
Corporate & Securities, Litigation
Published:
Apr 2014
ISBN:
9781402422089
PLI Item #:
51773
CHB Spine #:
B2095
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. SEC Enforcement Trends
Chapter 2. CFTC Anti-Fraud and Anti-Manipulation Enforcement Authority
Chapter 3. Outline of Selected SEC Enforcement Actions, October 2013
Chapter 4. PLI Enforcement 2014: Perspectives from Government Agencies, Legal and Policy Developments
Chapter 5. SEC v. Citigroup Global Markets Inc., 827 F. Supp. 2d 328 (S.D.N.Y. 2011)
Chapter 6. SEC v. Citigroup Global Markets Inc., 673 F.3d 158 (2d Cir. 2012)
Chapter 7. Public Statement by SEC Staff: Recent Policy Change, Robert Khuzami, Director of the SEC’s Division of Enforcement, U.S. Securities and Exchange Commission, Jan. 7, 2012
Chapter 8. SEC Speech by Chair Mary Jo White, Deploying the Full Enforcement Arsenal, Council of Institutional Investors Fall Conference in Chicago, IL, Sept. 26, 2013
Chapter 9. SEC Press Release No. 2014-17, Scottrade Agrees to Pay $2.5 Million and Admits Providing Flawed “Blue Sheet” Trading Data, Jan. 29, 2014
Chapter 10. Recent Work of the Public Company Accounting Oversight Board: 2013 and the First Part of 2014
Chapter 11. SEC Press Release No. 2012-249, SEC Charges China Affiliates of Big Four Accounting Firms with Violating U.S. Securities Laws in Refusing to Produce Documents, Dec. 3, 2012
Chapter 12. Memorandum of Understanding Between the Public Company Accounting Oversight Board of the United States and The China Securities Regulatory Commission and The Ministry of Finance of China
Chapter 13. SEC v. Deloitte Touch Tohmatsu CPA Ltd., No. 11-mc-00512-GK, (D.D.C. Jan. 27, 2014), Joint Motion to Dismiss Without Prejudice
Chapter 14. In the Matter of BDO China Dahua CPA Co., Ltd., et al. SEC Admin. Proceeding Nos. 3-14872 and 3-15116 (Jan. 22, 2014), Initial Decision (Public)
Chapter 15. Memorandum To Staff of the Rulewriting Divisions and Offices From RSFI and OGC Re: Current Guidance on Economic Analysis in SEC Rulemakings, March 16, 2012
Chapter 16. WilmerHale Publications & News, Conflict Minerals—A Summary of the SEC’s Final Rules, September 21, 2012
Chapter 17. National Association of Manufacturers v. SEC, No. 13–cv–635, 2013 WL 3803918 (D.D.C. July 23, 2013)
Chapter 18. American Petroleum Institute v. SEC, No. 12–cv–1668, 2013 WL 3307114 (D.D.C. July 2, 2013)
Chapter 19. SEC Press Release No. 2013-207, SEC Charges Three Auditors in Continuing Crackdown on Violations or Failures by Gatekeepers, Sept. 30, 2013
Chapter 20. NYCLA Committee on Professional Ethics, Formal Opinion 746, Ethical Conflicts Caused by Lawyers as Whistleblowers Under the Dodd-Frank Wall Street Reform Act of 2010, October 7, 2013
Chapter 21. Bloomberg BNA, Securities Regulation & Law Report, SEC Enforcement Developments: Renewed Focus on Lawyers
Chapter 22. U.S. v. Countrywide Financial Corp., No. 12–cv–1422, 2013 WL 4437232 (S.D.N.Y. Aug. 16, 2013)
Chapter 23. U.S. v. Wells Fargo Bank, No. 12–cv–7527, 2013 WL 5312564 (S.D.N.Y. Sept. 24, 2013)
Chapter 24. U.S. v. Bank of New York Mellon, 941 F. Supp.2d 438 (S.D.N.Y. 2013)
Chapter 25. Altman v. SEC, 666 F.3d 1322 (D.C. Cir. 2011)
Chapter 26. Securities Enforcement—Zealous Advocacy and Offending the SEC: The SEC’s Lawyer Discipline Program, INSIGHTS, The Corporate and Securities Law Advisor, Volume 26, Number 10, October 2012
Chapter 27. Update on the SEC’s Lawyer Disciplinary Program
Chapter 28. In the Matter of David M. Tamman, Esq., SEC Release No. 63785/January 27, 2011, Administrative Proceeding File No. 3-14207, Order Instituting Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e)
Chapter 29. In the Matter of David M. Tamman, Esq., SEC Release No. 69746/June 12, 2013, Administrative Proceeding File No. 3-14207, Order Making Findings and Denying Privilege to Appear or Practice Before the Commission by Default
Chapter 30. U.S. Attorney’s Office, S.D.N.Y. Press Release: Joseph Collins, Principal Attorney for Former Commodities Firm Refco, Sentenced in Manhattan Federal Court to One Year and One Day in Prison for Securities Fraud, July 15, 2013
Chapter 31. The Association of the Bar of the City of New York Committee on Professional and Judicial Ethics, Formal Opinion 2004-02, Representing Corporations and Their Constituents in the context of Governmental Investigations
Chapter 32. NYCLA Committee on Professional Ethics, Formal Opinion 746, Ethical Conflicts Caused by Lawyers as Whistleblowers Under the Dodd-Frank Wall Street Reform Act of 2010, October 7, 2013 (SEE CHAPTER 20)
Chapter 33. Speech by SEC Staff, Remarks to Criminal Law Group of the UJA-Federation of New York, by Robert S. Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission, New York City, June 1, 2011
Chapter 34. Excerpt from the Securities and Exchange Commission Enforcement Manual, October 9, 2013, Section 4.3—Waiver of Privilege
Chapter 35. Excerpt from the United States Attorneys’ Manual, Section 9-28.000—Principles of Federal Prosecution of Business Organizations
Index
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