The SEC issued its final Dodd-Frank pay ratio rules this week by a 3-2 vote. It also issued its final registration rules for Security-Based Swap Dealers and Major Security-Based swap participants. More questions were raised this week regarding the propriety …
This Week In Securities Litigation (Week ending August 7, 2015) Read More »
The SEC brought another custody rule action this week – against the outside auditors alleging that one examination was insufficient and the others incomplete thereby causing the client to violate the surprise audit requirement of the rule. failing the surprise …
This Week In Securities Litigation (The week ending June 26, 2015) Read More »