Tag: SEC

The Commission continued to challenge the markets and investors this week. Despite the significant number of proposed new regulations announced this year, Chair Gensler offered the prospect for more reform. His recent remarks on market structure offer the promise of …

This Week In Securities Litigation (Week of June 20, 2022) Read More »

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Conflicts of interest are a key issue for investment advisers and others. The Commission has brought a number of actions alleging that investment advisers failed to disclose conflicts which could impact clients. For example, the agency filed a series of …

Robo Advisers And Conflicts of Interest Read More »

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