Tag: conflicts

While the Commission continued to focus on conflicts in filing new actions, this time they did not center on an investment adviser. Rather, it was the Dodd-Frank provisions governing NRSROs. There Congress warned about the conflicts inherent in the process …

This Week In Securities Litigation (Week of June 27, 2022) Read More »

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The Commission continued to challenge the markets and investors this week. Despite the significant number of proposed new regulations announced this year, Chair Gensler offered the prospect for more reform. His recent remarks on market structure offer the promise of …

This Week In Securities Litigation (Week of June 20, 2022) Read More »

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