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 …

THIS WEEK IN SECURITIES LITIGATION (February 25, 2011) Read More »

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 …

FINRA RULE NOT RETROACTIVE Read More »