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The SEC Speeds Up Its Enforcement Arm

SEC officials signal an enforcement division that functions more like a criminal prosecutor's office
Original publication date: 
Friday, August 7, 2009 (All day)

It has been a big week so far for the market cops at the Securities & Exchange Commission: Each day brought a new multimillion-dollar settlement, most involving high-profile people or companies—Bank of America (BAC), General Electric (GE), and two former executives of American International Group (AIG), plus two smaller trading firms.

The SEC's Tough New Offensive on Insider Trading

It's using wiretaps, informants, and high-tech software, as well as teaming with key federal prosecutors, to nab wrongdoers fast
Original publication date: 
Wednesday, October 21, 2009 (All day)

Insider-trading scandals have been a fact of market life since the Dutch were hawking East India Tea. And the high-stakes bust on Oct. 16 of Raj Rajaratnam, the billionaire founder of hedge fund Galleon Management, for allegedly trafficking in ill-gotten information includes the usual array of investment analysts, corporate executives, and clock-punching interlopers.

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