NASD, SEC and Regulatory Defense Blog
This blawg is "dedicated to securities and regulatory defense trends and issues."
Author: Michael MacPhail is of counsel at Holland & Hart in Denver. Holland & Hart is also behind Health Care Law Blog.
Blawg Related Categories: Corporate Law • Corporate Compliance • Criminal Justice • White Collar Crime • Securities Law
Recent Posts from NASD, SEC and Regulatory Defense Blog
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Proposed Imposition of Fiduciary Duties on Brokers
President Obama’s blueprint for financial reform includes a proposal to impose a fiduciary standard on securities brokers who currently are subject only to a suitability standard requiring them to make recommendations that fit a client’s…
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SEC Survives Attempts to Eliminate It, But Challenges to its Powers Continue
The Obama administration apparently has decided against eliminating the SEC as part of an anticipated package of financial regulatory reforms to be submitted to Congress. Instead, the administration will focus on increasing the powers of…
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Colorado Division of Securities Cease and Desist Proceedings
The economic crisis has exposed an unprecedented number of securities frauds around the country. Consistent with national trends, the Colorado Division of Securities has reported a sharp increase in the number of securities fraud investigations…
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SEC’s Unpopularity at an All-Time High
A recent national survey of potential jurors by Dr. Kevin Boully of Persuasion Strategies emphasizes the challenges facing the SEC in rehabilitating its image in the wake of the economic collapse and the Madoff scandal.…
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Did SEC Enforcement Lawyers Engage in Insider Trading?
An article posted on today’s CBS website reports that the FBI is investigating two attorneys in the SEC’s Enforcement Division for insider trading. If these lawyers did indeed trade in the stocks of companies under…