Tag: investment company act

The Investment Company Act contains a number of provisions which limit, restrict or prohibit registered entities from participating in certain types of transactions. In some instances, the provisions give the Commission the authority to grant an exemption. It would seem …

Advisors Engage in Prohibited Transactions While Awaiting Exemption Order Read More »

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The fate of SEC ALJs was debated this week before the Supreme Court. Despite the fact that the Commission and Solicitor General confessed error, switched sides and joined with Petitioner to argue that historically the agency had violated the Constitution’s …

This Week In Securities Litigation (Week ending April 27, 2018) Read More »

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