Tag: manipulation

The cases filed by the Commission last week centered on manipulation, misrepresentations, cybersecurity and crypto assets. The agency also adopted new rules regarding security-based swap execution facilities. Be careful, be safe this week. SEC Rules: The Commission adopted Rules for …

This Week In Securities Litigation (Week of November 6, 2023)

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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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