Tag: offering fraud

This Week In Securities Litigation (Week ending July 6, 2018)

Chairman Clayton announced an outreach to retail investors, offering to meet with them in select cities over the next few weeks to discuss their investment experience. The initiative is the latest effort by the Commission to focus on retail investors.

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This Week In Securities Litigation (Week ending June 29, 2018)

The Commission issued rules this week regarding changes to its public liquidity risk management disclosure for open ended funds. In addition, proposed rules were issued regarding its whistleblower program and the regulatory framework for ETFs. A second insider trading case

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