Month: November 2022

I. Introduction While the pandemic continues, relegating Washington D.C. to a shadow of what the city once was like, it is not hindering the filing of new cases by the Commission. The SEC Headquarters office may be largely empty; Chair …

SEC Enforcement 3Q22 – A “Cop on Every Corner” Presence in the Market – Part I Read More »

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The Commission concluded an action during this holiday shortened week with an admission of wrongdoing. In a municipal bond case the agency required an official who lied to investors to conceal the fact that there were significant questions regarding his …

This Week In Securities Litigation (Week of November 28, 2022) Read More »

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