Regulation Best Interest, the long studied and discussed Commission rule that addressed the standards governing broker-dealers when making an investment recommendation was challenged by in a suit filed by seven states and the District of Columbia. State of New York …
Suit by States Challenges SEC Regulation Best Interest Read More »
SEC Chairman Jay Clayton called for greater international cooperation in the enforcement of anti-corruption statutes such as the Foreign Corrupt Practices Act in remarks delivered before the Economic Club of New York on September 9, 2019 (here). The comments followed …
SEC Chairman Clayton: Stepping Up Anti-Corruption Enforcement Efforts Read More »