The Commission prevailed following a bench trial in a case that was part of a series of pay-to-play actions involving pension funds. The action centered around bribes paid to an employee of a New York pension fund to secure business. …
Commission Prevails in Pay-To-Play Case at Trial Read More »
The Dodd-Frank provisions on securities-based swaps were added to the Securities Act to protect investors when investing in those instruments. The securities typically have to be registered with the Commission to ensure that persons who are not eligible participants in …
Educational Investment Game is Security-Based Swap Read More »