Tag: pay-to-play

This Week In Securities Litigation (Week ending July 13, 2018)

The President issued an Executive Order this week, exempting SEC ALJs from the competitive civil service. The order, based in part on the ruling in Lucia which held that SEC ALJs must be appointed in accord with the Constitution’s Appointments

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SEC Focus on Retail Investors Yields Actions Against Advisers

A key focus of the Commission and its Enforcement program is retail investors. This has resulted, in part, in a significant number of actions against investment advisers. This week is no exception. Four settled actions were brought based on the

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