Month: September 2019

The Investment Company Act contains a number of provisions which limit, restrict or prohibit registered entities from participating in certain types of transactions. In some instances, the provisions give the Commission the authority to grant an exemption. It would seem …

Advisors Engage in Prohibited Transactions While Awaiting Exemption Order Read More »

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A look forward; a look back: With only two weeks until the end of the Government fiscal year it seems apparent that the Commission’s enforcement Division is not about to hit warp speed as it did last year with the …

This Week In Securities Litigation (Week of Sept. 16, 2019) Read More »

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