Tag: offering fraud

It is back to the future for the Division of Enforcement. Going forward the Division will focus on rebuilding trust, long a goal of the program, according to recent comments of its new Enforcement Director (here). One key element of …

This Week In Securities Litigation (Week of October 18, 2021) Read More »

Tagged with: , ,

Complex exchange traded products were one of the key agenda items for the Commission last week. New products were recently approved. Nevertheless, three Commissioners expressed concern about the complexity of the products, the adequacy of the disclosure and the use …

This Week In Securities Litigation (Week of October 11, 2021) Read More »

Tagged with: , ,