New York Law Journal...learned in 1987, but were not learned are many. The key unsolved regulatory issues that date back to the October 1987 market crash are: (1...
...institutions prove the point, demonstrating nascent attempts by federal prosecutors to criminalize regulatory non-compliance. Historically, federal money laundering cases typically grew out...
...had been the subject of a prior arbitration before the Financial Industry Regulatory Authority ("FINRA"), this Court granted the Defendants' motion to dismiss to the...
...experts charged with undertaking an 18-month top-to-bottom review...and currently is before the Senate.1 This article...
...future of securities industry self-regulatory organizations (SROs). Some critics of...SRO, the Public Company Accounting Oversight Board (PCAOB) is on its...
...a series of events that has revealed serious deficiencies in our securities regulatory system, or, at least, in the enforcement of our current regulatory regime...
...GSEs). Although the Senate Banking Committee (SBC), under the...outdated and not very satisfactory regulatory framework, even though more restrictive...
Audrey Strauss, a member of Fried, Frank, Harris, Shriver & Jacobson, writes that the time has come to look back over almost a decade of DOJ's present approach to corporate criminal prosecutions, to
...of the regulatory arm of...U.S. Senate panel last...Committee's subcommittee on securities...would cut oversight costs but...
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