Year: 2023

Last week the Commission filed two new enforcement actions. The agency also adopted certain new rules and/or amendments regarding short selling and beneficial ownership. SEC Rules: The Commission adopted a Rule focused on increasing the transparency regarding short selling. Amendments …

This Week In Securities Litigation (Week of October 16, 2023) Read More »

Broker-dealers and investment advisers are subject to a number of restrictions regarding marketing and advertising their services. In contrast, those who are not registered but acting as, for example, an unregistered investment adviser, are not subject to the same restrictions. …

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