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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...
The above is not the case in today’s enforcement practices on Wall Street. Today, an SEC examiner comes to do an audit with a preconceived notion that there is something illegal happening. Then he or she finds something that isn’t illegal, forms the perception...
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...
It was an afternoon and evening that Liza Pope would later remember as a “beautiful romantic fairytale.” There was the carriage tour of Paris, a horse-drawn circuit from the base of the Eiffel Tower and back again. There were the gardens, and the...