Tag: FINRA

In the closing two weeks of the year the SEC continued to implement Dodd-Frank. A business group, which is typically critical of the Commission, issued a new report calling for what it termed “transformational change” at the agency. In court …

THIS WEEK IN SECURITIES LITIGATION (December 16 – 31, 2011) Read More »

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The collapse of MF Global was a key topic on Capital Hill this week. Lawmakers heard testimony from the former chairman of the firm as well as FINRA. In other congressional hearings the SEC Enforcement Director told a committee that …

THIS WEEK IN SECURITIES LITIGATION (December 9, 2011) Read More »

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