In This Issue:
Regulatory Updates -
FINRA overhaul of communications rules becomes effective and ICI and CoC appeal Rule 4.5 ruling.
Enforcement + Litigation -
Enforcement Division priorities target hedge...more
On January 8, the Supreme Court of the United States heard oral arguments in Gabelli v. S.E.C., 133 S. Ct. 97 (2012) on the question: By when must the government initiate an action to enforce a civil fine, penalty, or...more
Stepping up enforcement at coal mines with alleged violations relating to respirable coal dust, MSHA targeted 13 operations in September under its impact inspection program that the agency contended had a history of...more
One of the biggest fines paid in the history of the U.S. Occupational Safety and Health Administration (OSHA) came from the oil and gas industry. ...more
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