Year: 2016

The SEC filed another settled insider trading action as an administrative proceeding. The Commission has increasingly been filing insider trading cases in an administrative forum this year. In the Matter of Eric J. Wolff, Adm. Proc. File No. 3-17173 (March …

SEC Files Another Insider Trading Administrative Proceeding Read More »

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The Commission brought its first action based on Exchange Act Section 15B(c)(1) as amended by Section 275 of Dodd-Frank. Under that provision municipal advisors and their associated persons have a fiduciary duty to their municipal entity clients and are prohibited …

First SEC Case Re Dodd-Frank Municipal Fiduciary Duty Provision Read More »

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