Year: 2018

SEC Enforcement Statistics for Fiscal 2018: A Focus on IAs

The SEC Enforcement Division published its annual report, discussing the results of the last fiscal year (here). As with last year’s report, the glossy compilation of statistics, goals, and discussion emphasizes the achievement of the program while arguing that statistics

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This Week In Securities Litigation (Week ending Nov. 2, 2018)

The Commission issued proposed rules this week concerning disclosures for variable annuities and variable life insurance contracts. The agency also issued a statement clarifying certain matters regarding the business standards for security-based swap dealers and major security-based swap participants. DOJ

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