Tag: principal transactions

The Commission’s revamped approach to enforcement, centered in part on retail customers, is reflected in its most recent case. In an action against a managing director at a firm registered as an investment adviser and broker dealer, the Order focuses …

SEC and Retail Customers: Sanctions For Undisclosed Principal Transactions Read More »

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The SEC issued its final Dodd-Frank pay ratio rules this week by a 3-2 vote. It also issued its final registration rules for Security-Based Swap Dealers and Major Security-Based swap participants. More questions were raised this week regarding the propriety …

This Week In Securities Litigation (Week ending August 7, 2015) Read More »

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