Category: SECActions

The Commission continued to focus on rule modifications typically described as updating existing rules. This week the agency issued proposed rules designed to update the reporting for institutional investor holdings. Commissioner Allison Herron Lee issued a statement cautioning about the …

This Week In Securities Litigation (Week of July 13, 2020) Read More »

Tagged with: , , ,

The Commission has continued to bring offering fraud actions which may well be the leading category of enforcement actions for the year. One reason is the difficulty for many investors to distinguish between the good guys and the bad guys. …

Commission Settles Offering Fraud Targeting Chicago Jewish Community Read More »

Tagged with: ,