Tag: custody rule

The Commission took the relatively unusual step of issuing an Exchange Act Section 21(a) report of an investigation last week. The report addressed the question of whether tokens issued by a firm using blockchain technology were securities. Halliburton Company settled …

This Week In Securities Litigation (Week ending July 28, 2017) Read More »

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An investment banker who repeatedly tipped his father on about pending mergers was found guilty of insider trading by a jury this week. The Commission brought another action based on the whistleblower protections where the firm’s severance agreements impinged on …

This Week In Securities Litigation (Week ending August 19, 2016) Read More »

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