Year: 2011

THIS WEEK IN SECURITIES LITIGATION (February 25, 2011)

Key events this week included a report to the SEC and CFTC from the Advisory Committee on the flash crash. In court the SEC obtained a split decision on summary judgment motions in an insider trading case, winning as to

FINRA RULE NOT RETROACTIVE

In her remarks at PLI’s SEC Speaks, SEC Commissioner discussed the question of retroactivity as it might apply to various provisions of Dodd-Frank (here). There are of course a number of provisions in the Act which enhance the authority of

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