Speeches

Luis Aguilar: The Enforcement Commissioner

Bruce Carton March 19, 2009

Commissioner Luis Aguilar joined the SEC in July 2008. In his short time at the SEC, Aguilar has quickly positioned himself as the SEC Commissioner with the strongest interest in enforcement issues. In several speeches over the past eight months, Aguilar has taken strong positions advocating changes in the enforcement...

SEC's Schapiro Announces Immediate Measures to Bolster Enforcement

Bruce Carton February 06, 2009

SEC Chairman Mary Schapiro delivered a speech this morning at PLI"s 2009 "SEC Speaks" conference that announced several important new Enforcement Division initiatives.First, Schapiro stated that as a "first, but significant," step in empowering the Enforcement staff,I am this week taking action to end the Commission's two-year "penalty pilot" experiment,...

Why Does Fraud Occur? (Movie Edition)

Bruce Carton September 15, 2008

On Tuesday of last week, Lori Richards, Director of the SEC's Office of Compliance Inspections and Examinations, spoke at the Southwest Securities Enforcement Conference. Her remarks were on the subject of "Why Does Fraud Occur and What Can Deter or Prevent It?."Richards stated that she had seen distinct types of...

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