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Wednesday, December 21, 2016
Larry Bergmann Addresses Regulation SHO and Bona-Fide Market Making
The SEC has instituted administrative proceedings against Wilson-Davis & Company (WDCO), a Utah broker-dealer, and certain associated persons for, among other things, improperly claiming the “bona- fide market making” exception to the requirement in Rule 203 of Regulation SHO to obtain a “locate” of stock before effecting short sales.

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Tuesday, December 13, 2016
Brian Walsh speaks on the possible narrowing CFTC enforcement under Trump
The CFTC could narrow its interpretation of antimanipulation authority granted by the Dodd-Frank Act once President-elect Trump takes office, enforcement lawyers told Bloomberg BNA. There are certain types of cases that are less likely to be prosecuted because they’re borderline and don’t go to what the CFTC’s mandate is, which includes policing fraud, manipulation and trade practice abuse.

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Tuesday, September 27, 2016
SEC Flags “Close Personal Relationships” between Outside Auditors and Clients, Sanctions Auditors, Clients’ Financial Executives
Corporations and their independent auditors should note the three auditor independence cases settled by the Securities and Exchange Commission last Monday. Auditor independence cases typically center on family, employment, or business ties between auditor and client. But these three centered on “inappropriately close personal relationships” between audit firm and client personnel, a first for SEC auditor independence cases. The Commission charged not only the audit firm and its partners, but also the clients’ financial executives. This summary is drawn from the Commission’s findings, which the respondents neither admitted nor denied.

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Friday, April 8, 2016
Murphy & McGonigle P C Commodities and Futures Update - Third Whistleblower Award 4.8.16
Murphy & McGonigle P C Commodities and Futures Update - Third Whistleblower Award 4.8.16

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Monday, November 23, 2015
SEC Proposes Expanded Disclosure of ATSs that Facilitate Transactions in NMS Stocks
SEC Proposes Expanded Disclosure of ATSs that Facilitate Transactions in NMS Stocks

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Monday, October 12, 2015
New York Libor Trial Tests U.S. Ability to Do What U.K. Has
New York Libor Trial Tests U.S. Ability to Do What U.K. Has

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Friday, October 9, 2015
CFTC Asserts Jurisdiction over Bitcoin
CFTC Asserts Jurisdiction over Bitcoin

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Tuesday, June 16, 2015
Should the IOC Worry about the FIFA Fiasco?
Should the IOC Worry about the FIFA Fiasco?

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Thursday, May 21, 2015
Forex Settlement Confirms DoJ’s Recent Comments on Corporate Recidivism
Forex Settlement Confirms DoJ’s Recent Comments on Corporate Recidivism

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Tuesday, April 7, 2015
High Court Sets Stage For Another Section 11 Circ. Split
High Court Sets Stage For Another Section 11 Circ. Split

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