Mortgage Fraud, Securities Fraud, and the Financial Meltdown: Prosecuting Those Responsible
Certain principles are fundamental to the fair and proper functioning of our markets: that no one should have an unjust advantage; that investors have a right to disclosure that complies with fed. securities laws; and that there is a level playing field for all investors. Discusses how the SEC is moving on 5 fronts in the enforcement area to advance these objectives. Contents: (1) Recent Accomplishments and Initiatives: Mortgage-Related Cases; Accounting Fraud; Broker-Dealer, Investment Adviser, and Hedge Fund Misconduct; Insider Trading; Public Trust; Ponzi Schemes; Foreign Corrupt Practices Act; Cooperation and Coordination with Other Authorities; (2) Strengthening the Enforcement Division: Legislative Initiatives; Future Plans.Establishing nationwide service of process. The SEC currently has nationwide service in administrative proceedings. Establishing nationwide service of process in civil actions filed in federal courts would produce a number of substantialanbsp;...
| Title | : | Mortgage Fraud, Securities Fraud, and the Financial Meltdown: Prosecuting Those Responsible |
| Author | : | Robert Khuzami |
| Publisher | : | DIANE Publishing - 2010-10 |
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