Tag: manipulation

The Commission filed two new enforcement action last week. One was based on incorrect statements. The second focused on the misappropriation of client assets by an investment adviser. The Director of the Division of Enforcement also addressed the New York …

This Week In Securities Litigation (Week of October 30, 2023)

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The Commission filed seventeen new cases last week. Those included 9 stemming from a sweep regarding the application of the new Marketing Rule. That Rule focuses on the use of hypotheticals in advertisements. The other cases centered on crypto assets, …

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