Author: T. Gorman

Last week new enforcement director Gurbir Grewal made his first public remarks at PLI’s SEC Speaks 2021 (October 13, 2021, here). Mr. Grewal is the former Attorney General of New Jersey. He also served in the U.S. Attorney’s Office for …

The New SEC Enforcement Program: Trust & Fairness Read More »

Tagged with: ,

Complex exchange traded products were one of the key agenda items for the Commission last week. New products were recently approved. Nevertheless, three Commissioners expressed concern about the complexity of the products, the adequacy of the disclosure and the use …

This Week In Securities Litigation (Week of October 11, 2021) Read More »

Tagged with: , ,