Month: February 2017

Morgan Stanley settled another case with the Commission this week. This time its brokerage unit resolved an action centered on the improper sales of ETFs, admitting the facts in the Order. The Commission also brought another suspicious trading case last …

This Week In Securities Litigation (Week ending Feb. 17, 2017) Read More »

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The Exchange Act requires that certain disclosures be made by significant shareholders and those seeking to make a tender offer. Section 13(d), for example, requires those acquiring a stake of 5% or more to make certain disclosures. Section 14(d) governs …

Exchange Act Sections 13(d), 14(d) and 16(a): A New SEC Focus? Read More »

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