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Securities Lawyers of Styleforum

post #1 of 6
3/15/10 at 2:50pm
Thread Starter 
I know we have a lot of lawyers on here so I figured I'd tap into the resource; I'm Canadian and need some pointers on where to look for some information on a comparative study. Specifically, I need to track down statistics on enforcement decisions rendered by the SEC in 2008 and 2009, in terms of types of violations prosecuted, convictions, matters settled, sanctions including non-monetary, against whom (directors, officers, etc). Canada's regulatory agency publishes an annual report on enforcement so the data for up here is easily accessed. The SEC publishes an annual report, but it lacks detail and if there's something better out there I'd love to find it. Any ideas where to look?
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post #2 of 6
3/15/10 at 3:39pm
You're probably better off looking at journal articles or publications by the ABA's Securities Litigation Committee.
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post #3 of 6
3/15/10 at 3:47pm
Thread Starter 
^Don't have ABA membership (well, for obvious reasons I suppose). Otherwise that would be pretty useful. I'll have a look for on-point US law journals.
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post #4 of 6
3/15/10 at 3:56pm
Check your PMs.
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post #5 of 6
3/15/10 at 3:57pm
here's a place to maybe start your search:

http://www.sec.gov/news/press/2008/2008-254.htm
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post #6 of 6
3/15/10 at 4:01pm
Might be worth a look...http://blogs.law.harvard.edu/corpgov...his-year/...if you have LEXIS access you might find some stuff, however an article regarding recent developments might not be out yet.
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