Month: February 2007

Significant Policy Statements Two significant policy issues impacted the SEC’s Enforcement Program in 2006, two of which should be followed closely in 2007.  First, in January 2006, the SEC issued its Statement on Financial Penalties for Corporations,  SEC Press Rel. …

Series: SEC Enforcement Program 2007, Projecting Trends and Key Issues (Part II) Read More »

Today we begin a series of posts reviewing 2007 SEC Enforcement trends. SECActions.com will periodically post this series over the next several weeks.  It will analyze the following key points: 1) An overview of the enforcement program; 2) New enforcement …

Series: SEC Enforcement Program 2007, Projecting Trends and Key Issues (Part I) Read More »