Year: 2015

Broken Windows – the SEC initiative cloned from the NYC Police Department which prosecutes every case large and small based on the a deterrence theory – is alive and well in the form of the Rule 105 Initiative. This week …

Broken Windows: SEC Files Six Settled Rule 105 Actions Read More »

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The Commission brought its first case tied to inadequate disclosure regarding structured notes. The complex instruments, a debt security linked to a derivative tied to the performance of other products, are frequently marketed to relatively unsophisticated retail investors. In the …

UBS Settles Structured Note Case with SEC Read More »

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