Word: offed
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To those who deny that there are serious flaws with the current procedures for determining commission members, I ask that they seriously consider that the majority of important commission votes have ended up strictly along party lines—three-to-two or two-to-three. Most recently, the vote...
Today’s SEC is too political and a fiendish meritocracy. Underpaid and undereducated, the SEC staff and enforcement personnel must bring home the bacon to headquarters, or their jobs are on the line. (Was Shapiro’s deciding vote against Goldman intended to make up for her...
There was a time when the regulated worked with the regulators as partners, in the spirit of assisting the regulated to operate within the rules and more effectively. In those days, a first infraction merited a warning, a second infraction for the same offense got you a ticket and maybe...
Our elected officials and regulators would have us believe that we can regulate the greed out of the markets. I promise you that it’s never going to happen. But what we can have is a shift to a corporate culture in which employees at any firm who...
Beyond this, America needs an SEC that is independent and not politically motivated, with a staff that is well-educated and knowledgeable about the Securities Laws. Accepting this, I believe we have a chance at building an enforcement and rule-making regime that gives America the best chance to compete...