Year: 2020

A look forward – a look back: The Commission announced the initial meeting of its Asset Advisory Committee this week. The new Committee is designed to make available diverse views on the business to the Commission and provide the agency …

Week In Securities Litigation (Week of Jan. 13, 2020) Read More »

Tagged with: ,

The Commission’s focus on retail investors, reflected not just in enforcement trends but also in the OCIE inspection program, is spawning interesting trends. One is the rise in enforcement actions involving investment adviser. That trend traces to before the current …

Retail Investors: A Key SEC Focus Read More »

Tagged with: , ,