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Posted on by T. Gorman Posted in SECActions

In recent months the key question regarding digital assets has been whether they are a security. The Commission furnished guidance on this by issuing a Section 21(a) report known as the DAO Report, discussed here. The approach of the agency …

Securities Law and Digital Assets – Ideas From the SEC, FINRA Staffs Read More »

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Posted on by T. Gorman Posted in SECActions

The Commission has brought a series of enforcement actions against investment advisers centered on fees. In a number of instances the issue was whether the clients were put into programs where the fees charged were the most advantageous for the …

FINRA Fines Morgan Stanley For Supervision Failures Read More »

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