Year: 2016

Transition Management is a service offered by securities professionals to pension funds and other investment managers who are changing fund managers, investment managers or making similar transitions and need to make significant changes in their portfolio of securities. One of …

SEC Charges State Street Employee For Fraudulent Fees Read More »

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Exchange Act Section 27 gives federal district courts exclusive jurisdiction of all suits “brought to enforce any liability or duty created” by the Act. The critical question was the scope and reach of that exclusive jurisdiction. The issue had split …

Supreme Court: The Reach of Exchange Act Section 27 Read More »

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