Year: 2018

The SEC, Enforcement and Statistics

The Commission’s enforcement program has increasingly relied on statistical analysis. One of its initiatives, the Aberrational Performance Inquiry or API, focuses on whether performance and other metrics fell within certain limits. In some instances it has been successful; some not.

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This Week In Securities Litigation (Week ending August 17, 2018)

Municipal bonds and compliance were key issues for Enforcement this week. The Commission brought four actions against twenty defendants centered on the fraudulent purchase of municipal bonds. Specifically, the cases allege “flipping” schemes in which the defendants gamed the offering

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