Year: 2015

Amid all the concern regarding the selection by the SEC of an administrative rather than a district court forum for brining agency enforcement action comes a decision which has the potential to change the tenor of the debate, at least …

SEC ALJ: No Sanction For Compliance Official Who Violated Statute Read More »

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The SEC issued its final Dodd-Frank pay ratio rules this week by a 3-2 vote. It also issued its final registration rules for Security-Based Swap Dealers and Major Security-Based swap participants. More questions were raised this week regarding the propriety …

This Week In Securities Litigation (Week ending August 7, 2015) Read More »

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