Author: T. Gorman

Last week as everyone celebrated the Thanksgiving holiday, the Commission continued to schedule meetings regarding proposed rule revisions. The rules to be considered involve select offerings tied to compensation. The Enforcement Division filed two new actions in advance of the …

This Week In Securities Litigation (Week of November 23, 2020) Read More »

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Data analytics has evolved into a key tool of the SEC’s enforcement program. The most recent example of this is a series of settled administrative proceedings centered on the use of Exchange Traded Products. The products are complex. The theory, …

SEC’s Exchange Traded Products Initiative Read More »