Legal Backgrounders

October 1, 2004

Legal Backgrounders

Cooperation In SEC Enforcement: The Carrot Becomes The Stick

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By Russell G. Ryan, partner in the Washington, D.C. office of King & Spalding LLP and a former Assistant Director of Enforcement at the Securities and Exchange Commission.

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SEC Enforcement: A Better “Wells Process”

By Mitchell E. Herr, a partner with the law firm Holland & Knight LLP.

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October 3, 2003

Analyst Conflicts, Efficient Markets and “Failure to Supervise”Liability.

By <a href="http://www.ropesgray.com/bios/bio_detail.aspx?SectionID=2&AttorneyID=000111217003"_blank"Peter L. Welsh , an attorney with the law firm of Ropes & Gray in the areas of government enforcement, securities litigation, and corporate governance litigation.