Year: 2011

THIS WEEK IN SECURITIES LITIGATION (June 23, 2011)

The SEC continued implementing Dodd-Frank this week. New rules were issued regarding hedge fund registration and exemptions. SEC enforcement resolved two significant market crisis cases this week. In one the agency filed a settled action against J.P. Morgan Securities regarding

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SEC AND MORGAN KEEGAN SETTLE ACTION TIED TO MARKET CRISIS

The SEC resolved an action with Morgan Keegan and two of its officers based on the fraudulent pricing of subprime real estate mortgage backed securities. In the Matter of Morgan Asset Management, Inc., Adm. Proc. File No. 3-14847 (June 22,

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