Category: SECActions

Climate change poses a major risk to the stability of the U.S. financial system and to its ability to sustain the American economy . . . A major concern for regulators is what we don’t know.” This is the message …

CFTC Report: Effectively Meeting the Challenge of Climate Change Read More »

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The Commission closed out the pre-labor day/end of summer period with an array of its staples. Cases were filed based on undisclosed 12b-1 fees (with a notation in the Order that the adviser failed to take advantage of the Share …

This Week In Securities Litigation (Week of Sept. 7, 2020) Read More »