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 »
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 »