Tag: insider frading; Dodd-Frank; market crisis cases; Galleon; expert networking; venue; auction rate securities

The SEC continued implementing Dodd-Frank this week. New rules were issued regarding hedge fund registration and exemptions. SEC enforcement resolved two significant market crisis cases this week. In one the agency filed a settled action against J.P. Morgan Securities regarding …

THIS WEEK IN SECURITIES LITIGATION (June 23, 2011) Read More »

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