Author: T. Gorman

The Commission continued to spotlight key market issues in rule making proposals and conferences. This week the agency announced a conference focused on the municipal securities markets. While the Commission has limited authority in this area, the agency can lead …

Week In Securities Litigation (Week of Jan. 27, 2019) Read More »

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The Commission’s focus on retail investors has resulted in a series of cases frequently called offering frauds. In those cases, as repeatedly noted in this space, investors typically get lured to part with what is often their savings and/or retirement …

A Job Well Done by the Commission Read More »

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