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Citi Ruling Could Chill SEC, Street Legal Pacts

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Accountablility of Financial Regulators

08/24/2009

Prof Kane at Boston College and Judge Rakoff point to the lack of accountability of financial regulators.

Grouped Articles

Stern Words for Wall Street’s Watchdogs, From a Judge

New York Times 12/16/2013

A bigger stick

Economist 06/13/2015

Facts and the Financial Crisis

New York Times 09/20/2009

BofA Ruling Questions an SEC Weapon

Wall Street Journal 09/16/2009

At Long Last, BofA Shareholders Find a Friend

Wall Street Journal 09/14/2009

Rakoff Rakes the SEC

Wall Street Journal 09/15/2009

Judge Rakoff and the S.E.C.-Citicorp agreement

04/24/2010

Grouped Articles

SEC's Top Cop Oversaw Deutsche CDOs

Wall Street Journal 04/24/2010

Stern Words for Wall Street’s Watchdogs, From a Judge

New York Times 12/16/2013

SEC-Citi Pact Rejected by Judge Rakoff

Wall Street Journal 11/28/2011

No Mr. Nice Guy—Just Ask Wall Street

Wall Street Journal 11/09/2011

Citi Ruling Could Chill SEC, Street Legal Pacts

Wall Street Journal 11/29/2011

SEC Feels the Citi Heat

Wall Street Journal 11/29/2011

Mary Schapiro, Chairwoman U.S. Securities and Exchange Commission (S.E.C.)

04/24/2010

Grouped Articles

SEC's Top Cop Oversaw Deutsche CDOs

Wall Street Journal 04/24/2010

Inside the End of the U.S. Bid to Punish Lehmann Executives

New York Times 09/08/2013

SEC Tries to Rebuild Its Reputation

Wall Street Journal 09/12/2013

S.E.C. Tension As It Examined Mortgage Cases

New York Times 12/19/2013

­Elizabeth Warren: One Way to Rebuild Our Institutions

New York Times 01/29/2016

S.E.C. Chairwoman's Ethics Under Fire

New York Times 03/08/2011

S.E.C. and fraud settlement with U.S. banks for toxic mortgage debt

04/24/2010

Grouped Articles

SEC's Top Cop Oversaw Deutsche CDOs

Wall Street Journal 04/24/2010

Inside the End of the U.S. Bid to Punish Lehmann Executives

New York Times 09/08/2013

S.E.C. Tension As It Examined Mortgage Cases

New York Times 12/19/2013

Banks Keep their Mortgage Litigation Reserves a Secret

New York Times 01/16/2014

An Unfinished Chapter at Countrywide

New York Times 08/23/2014

Banks Near Deal With SEC

Wall Street Journal 04/14/2011

S.E.C.'s Citigroup deal

01/20/2009

Grouped Articles

The Citigroup ATM

Wall Street Journal 07/15/2014

Judge Unloads on Deal SEC Struck With Citi

Wall Street Journal 11/10/2011

Judge in Citigroup Mortgage Settlement Criticizes S.E.C.'s Enforcement

New York Times 11/10/2011

SEC-Citi Pact Rejected by Judge Rakoff

Wall Street Journal 11/28/2011

Citi Ruling Could Chill SEC, Street Legal Pacts

Wall Street Journal 11/29/2011

SEC Feels the Citi Heat

Wall Street Journal 11/29/2011

The S.E.C. and the Credit Ratings Agencies in the U.S. - 2010-2014

12/08/2009

The failure of the Securities and Exchange Commission to keep the intent of the Dodd-Frank law, and hold credit ratings agencies accountable for ratings they issue. This opens the door to the kinds of problems that caused the financial crisis of 2008.

Grouped Articles

Rating Firms Steer Clear of an Overhaul

Wall Street Journal 05/12/2013

Obama Presses Regulators to Finish Financial Rules

Wall Street Journal 08/20/2013

S&P's Account of An Irate Treasury Secretary

New York Times 01/21/2014

The Stone Unturned: Credit Ratings

New York Times 03/22/2014

S. & P. E-Mails on Mortgage Crisis Show Alarm and Gallows Humor

New York Times 02/05/2013

Regulators Struggle With Conflicts in Credit Ratings and Audits

New York Times 08/21/2014

The Uptick Rule and Short selling abuses in the U.S.

07/28/2008

The suspension of the Uptick Rule and the S.E.C.'s dire lack of enforcement all seem to suggest that the regulatory mission of the S.E.C. has been influenced by those who are being regulated. Conservatives running the government and regulatory agencies mistakenly assumed that lower regulation was somehow part of the new system of free enterprise that was delivering results. As long as the economy did well they saw no reason to question this, and in fact let regulation wither to the extreme provoking the crisis by letting excesses develop and accumulate. The abuses of excessive leverage under a Fuld at Lehman and of mortage sales under a Mozilo at Countrywide were barely understood by Cox and company at the SEC till they undermined the very foundations of free enterprise.

Grouped Articles

SEC Tries to Rebuild Its Reputation

Wall Street Journal 09/12/2013

Agency Subpoenas Focus on 4 Rumors That Hit Lehman

Wall Street Journal 07/28/2008

Fed Acted on Lehman Rumor

Wall Street Journal 08/21/2008

NYSE Chief Leans Toward Uptick Rule

Wall Street Journal 10/02/2008

U.K. Will Continue Ban on Short Selling

Wall Street Journal 10/23/2008

Citigroup Tries to Stop the Drop in Its Share Price

New York Times 11/21/2008

Conflict of Interest and appointments in the Obama White House and the Obama administration

01/06/2011

With recent government support for US banks and heavy lobbying by the banks against reform legislation, the appointment of William Daley- who heads lobbying at Chase JP Morgan- to White House Chief of Staff, creates conflict of interest say columnists.

Grouped Articles

Book portrays dysfunction in Obama White House - The Washington Post

Washington Post 09/17/2011

Banks' Lobbyists Help in Drafting Financial Bills

New York Times 05/23/2013

William Daley Brings Management Experience as Chief of Staff

New York Times 01/06/2011

Reich Disappointed in Obama the Centrist

New York Times 01/07/2011

Obama’s Top Aide a Tough, Decisive Negotiator

New York Times 01/07/2011

Daley Résumé Blends Politics, Business

Wall Street Journal 01/07/2011

Revolving door for officials in U.S. government and regulatory authorites, the S.E.C., the Federal Reserve, and the large banks.

01/28/2009

Orszag, budget director in the Obama administration, joins Citigroup. A senior official at the New York Fed's regulatory department joins Goldman Sachs. Another Fed official joins Morgan Stanley as chief economist. S.E.C. enforcement chief leaves Deutsche Bank for the S.E.C. and leaves the S.E.C. for a position in the financial industry. The nominee for S.E.C. chief in 2013, Jo White, represented JP Morgan Chase in her work at a law firm. The nominee for Treasury Secretary Jacob Lew, worked at Citigroup for a short period. A similiar situation exists in the UK and in other EU countries.

Grouped Articles

Wall Street Meets Reality

New York Times 12/27/2011

SEC's Top Cop Oversaw Deutsche CDOs

Wall Street Journal 04/24/2010

The Power Behind the Throne at the Federal Reserve

New York Times 07/31/2013

SEC Deals With Turnover at the Top

Wall Street Journal 08/20/2013

SEC Tries to Rebuild Its Reputation

Wall Street Journal 09/12/2013

SEC 'Revolving Door' Under Review

Wall Street Journal 06/16/2010


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