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Last Entry: March 31, 2011 at 16:18:26

Langevoort on Behavioral Economics of M&A

Posted on October 17, 2010
The Behavioral Economics of Mergers and Acquisitions, by Donald C. Langevoort, Georgetown University Law Center, was recently posted on SSRN. Here is the abstract: The world of mergers and acquisitions seems like a setting in which rationality necessarily dominates...

SEC, CFTC Announce Roundtable on Clearing of Credit Default Swaps

Posted on October 15, 2010
The SEC and the CFTC staffs will hold a public roundtable on October 22 to discuss issues related to the clearing of credit default swaps. There will be two sessions: Session on Products and Processing Characteristics of credit derivatives, including...

Countrywide's Mozilo Will Pay $67.5 Million to Settle SEC Charges

Posted on October 15, 2010
The SEC today announced that former Countrywide Financial CEO Angelo Mozilo will pay a record $22.5 million penalty to settle SEC charges that he and two other former Countrywide executives misled investors as the subprime mortgage crisis emerged. The settlement...

SEC's Inspector General Did Not Find Timing of Goldman Suit Influenced by Reform Legislation

Posted on October 14, 2010
The SEC's Office of Inspector General released its report on its investigation into the timing of the SEC's enforcement action against Goldman Sachs. As the executive summary relates: On April 23, 2010, the SEC OIG, in response to a written...

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SEC Publishes Text of Proposed Reg MC

Posted on October 14, 2010
In accordance with Section 765 of the Dodd-Frank Act, the SEC is proposing Regulation MC for clearing agencies that clear security-based swaps (?security-based swap clearing agencies?) and for security-based swap execution facilities (?SB SEFs?) and national securities exchanges that post...

SEC Charges Two Florida Hedge Fund Managers with $1 Billion Ponzi Scheme

Posted on October 14, 2010
The SEC charged two Florida-based hedge fund managers and their firms with fraudulently funneling more than a billion dollars of investor money into a Ponzi scheme operated by Minnesota businessman Thomas Petters. According to the SEC, Bruce F. Pr�vost and...

Court Approves $100 Million Settlement between SEC and Dell

Posted on October 14, 2010
The federal district court for D.C. approved the proposed settlement between the SEC, Dell Computer and five current or former executive officers (including Michael Dell), in which Dell agrees to pay $100 million and implement remedial measures. In its complaint,...

FINRA Releases Survey of Military Families' Finances

Posted on October 14, 2010
The FINRA Investor Education Foundation released a survey that measures the overall financial capabilities of U.S. military personnel. The Military Survey ? one of three linked surveys analyzing the financial capability of American adults ? was developed in consultation with...

SEC Adopts Interim Rule on Security-Based Swaps

Posted on October 13, 2010
The SEC today adopted an interim rule that requires certain swaps dealers and other parties to report any security-based swaps entered into prior to the July 21 passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act. This rule...

SEC Proposes Rules to Mitigate Conflicts Involving Security-Based Swaps

Posted on October 13, 2010
The SEC today proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post security-based swaps or make them available for trading...

SEC Proposes Additional ABS Disclosures

Posted on October 13, 2010
The SEC issued a proposal to enhance disclosure to investors in the asset-backed securities market. It would require issuers of asset-backed securities (ABS) to perform a review of the assets underlying the securities and publicly disclose information relating to the...

SEC Proposes "Family Offices" Exclusion from Investment Advisers Act

Posted on October 12, 2010
The SEC proposed a new rule, based on requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act, that would help those managing their own family's financial portfolios determine whether their "family offices" can continue to be excluded from...

New York AG and Law Firm Settle Charges Involving State Pension Fund Investigation

Posted on October 12, 2010
New York AG Andrew M. Cuomo today announced an agreement with national law firm Manatt Phelps & Phillips, LLP (?Manatt?) in the Attorney General?s ongoing state pension fund investigation. The agreement arises from Manatt?s conduct on behalf of financial firms...

NASAA Identifies Most Common Deficiencies in Broker-Dealer Compliance

Posted on October 12, 2010
NASAA posted on its website its 2010 Broker-Dealer Coordinated Examination Report, which identifies the top compliance deficiencies and offers a series of recommended best practices for broker-dealers to consider in order to improve their compliance practices and procedures...

Griffin et al. on Insider Trading & Debt Covenant Violation Disclosure

Posted on October 10, 2010
Insightful Insiders? Insider Trading and Stock Return Around Debt Covenant Violation Disclosures, by aul A. Griffin, University of California, Davis - Graduate School of Management; David H. Lont , University of Otago - Department of Accountancy, and Kate McClune, was...

Levitin & Wachter on the U.S. Mortgage Crisis

Posted on October 10, 2010
Information Failure and the U.S. Mortgage Crisis, by Adam J. Levitin, Georgetown University Law Center, and Susan M. Wachter, University of Pennsylvania - The Wharton School - Real Estate Department, was posted on SSRN. Here is the abstract: This paper...

Ibrahim on Exit in Venture Capital

Posted on October 10, 2010
The New Exit in Venture Capital, by Darian M. Ibrahim, University of Wisconsin Law School, was recently posted on SSRN. Here is the abstract: This Article is the first to explore a third exit option in venture capital to supplement...

Heminway on The SEC & Change Leadership

Posted on October 10, 2010
Reframing and Reforming the Securities and Exchange Commission: Lessons from Literature on Change Leadership, by Joan MacLeod Heminway, University of Tennessee College of Law, was recently posted on SSRN. Here is the abstract: As a reaction to perceived and actual...

Geithner's 5 Myths about TARP

Posted on October 09, 2010
In an article to be published in Sunday's Washington Post, Treasury Secretary Tim Geithner debunks five myths about the Troubled Asset Relief Program (TARP), which expired on Sunday, October 3.

Italian Trader Settles SEC Insider Trading Charges

Posted on October 09, 2010
The SEC announced a proposed settlement with Gianluca Di Nardo, an Italian citizen, and his investment vehicle Corralero Holdings, Inc., (?Corralero?) for alleged insider trading in the securities of two issuers, DRS Technologies, Inc. (?DRS?) and American Power Conversion Corp...

SEC Charges Penny Stock Promoters with Illegal Kickback Schemes

Posted on October 09, 2010
The SECcharged more than a dozen penny stock promoters and their companies with securities fraud for their roles in various illicit kickback schemes to manipulate the volume and price of microcap stocks and illegally generate stock sales. One of the....

Former NY Comptroller Hevesi Pleads Guilty for Involvement in Pay-to-Play Kickback Scheme

Posted on October 07, 2010
Former Comptroller of the State of New York Alan Hevesi pleaded guity to a felony charge for his involvement in a pay-to-play kickback scheme at the Office of the New York State Comptroller. Hevesi acknowledged receiving nearly $1 million in...

SEC Issues Investor Alert About Internet Scheme Targeting Deaf Investors

Posted on October 07, 2010
The SEC issued an Investor Alert: Investor Warning Regarding Web-Based Scheme Defrauding Deaf Investors. The agency charged an Internet-based investment company, Imperia Invest IBC (?Imperia?), with securities fraud for soliciting several million dollars from U...

SEC Charges Radio Show Host with Misappropriating Investors' Funds

Posted on October 07, 2010
The SEC charged Barbra Alexander, a talk radio show host, and two other executives of APS Funding, a Monterey, Calif.-based firm, with misappropriating $2.5 million of approximately $7 million they raised through the fraudulent sale of interests in two real...

SEC Charges Former Dell Employee with Insider Trading Involving Perot Tender Offer

Posted on October 06, 2010
On October 5, 2010, the SEC charged former Dell Inc. employee Marleen Jantzen and her husband, John Jantzen, a licensed broker, with insider trading around the public announcement of Dell's tender offer for Perot Systems in September 2009. According to...

SEC's Will Consider Reporting of Security-Based Swaps at Oct. 13 Meeting

Posted on October 06, 2010
SEC Open Meeting - October 13, 2010 The subject matter of the Open Meeting will be: The Commission will consider whether to adopt an interim final temporary rule under Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection...

SEC Announces Annual Small Business Capital Formation Forum

Posted on October 06, 2010
The SEC announced that it will hold its annual forum on small business capital formation on November 18 at its Washington, D.C., headquarters. The forum enables the SEC and its staff to interact with the small business community and exchange...

SEC Proposes Rules on Disclosure of ABSs

Posted on October 06, 2010
The SEC seeks public comment on proposed regulations to require issuers of asset-backed securities (ABS) ? and credit rating agencies that rate ABS ? to provide investors with new disclosures about representations, warranties, and enforcement mechanisms...

SEC Stays Effectiveness of Proxy Access Rule Pending Judicial Review

Posted on October 05, 2010
The SEC announced that it would stay the effectiveness of Rule 14a-11 (the Proxy Access Rule) and related amendments to the proxy rules, pending the D.C. Circuit's review of the petition filed by the U.S. Chamber of Commerce and Business...

Treasury Releases Two-Year Retrospective Report on TARP

Posted on October 05, 2010
Today the U.S. Department of the Treasury released its "Two-year Retrospective" report on TARP. According toTreasury's release: The report provides a comprehensive overview of the steps that Treasury took under TARP to contain a growing financial panic that gripped our...

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