Here is the archive of the webcast for you to watch at your leisure. You can also see the live commentary on the webcast that happened on Twitter: Twitter/ #SecuritiesD. You can also get the materials from the webcast.
Tag Archives | Bruce Carton
Re-Post – Web 2.0: Leveraging New Media to Maximize Your Securities & Compliance Practice
On February 17, 2009, Securities Docket is sponsoring a webcast that will look at the numerous ways that securities and compliance counsel and professionals can now use web 2.0 to promote, market, and network themselves, their practices and their firms as never before. Please join Bruce Carton, Editor of Securities Docket, and me for a [...]
Draft SEC Filings Can Be Protected From Discovery
In a January 9, 2009 order, Magistrate Judge Morton Denlow of the US District Court for the Northern District of Illinois ruled that Aon was not required to produce an email seeking comments on draft disclosure language for Aon’s Form 10-K because it was protected by the attorney-client privilege. Magistrate’s Opinion and Order in Roth [...]
SEC Internet Enforcement
In the December Issue of Compliance Week, Bruce Carton tells some of the history of the SEC’s enforcement history. One of the first internet efforts was an email address for the public to send tips. Back in 1996 there were about 20 complaints a day. Now there as many as 10,000 a day. With all [...]
The 2008 Year in Review from Securities Docket
This panel joined Securities Docket’s Bruce Carton to look back at the most important and interesting developments in 2008, and offer their predictions for 2009. Walter Olson (Point of Law; Overlawyered), Kevin LaCroix (The D&O Diary) Tom Gorman (SEC Actions) Francine McKenna (re: the Auditors) Kevin started off noting that the number of securities class [...]
Insider Trading and Family Betrayal
Bruce Carton put together a collection of insider trading enforcement actions involving family betrayal: The Five Levels of Familial Betrayal, SEC Edition.
Legal Insider Trading
Bruce Carton of Compliance Week and Securities Docket put together examples of “Legal Insider Trading” on his Enforcement Action blog.
