Year: 2021

Earlier this month the Commission approved two new complex financial products. Despite the approval, the new products sparked comments from Chair Gensler (here) and, in a separate but joint statement, Commissioners Allison Herren Lee and Caroline A. Crenshaw (here). While …

Complex Products: Are They Investments? Read More »

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The Commission has a full plate of issues to consider, ranging from payment for order flow to crypto. This past week, however, the focus was on how many cases were filed for the just ended government fiscal year. The Commission …

This Week In Securities Litigation (Week of October 4, 2021) Read More »