Tag: security based swaps

Disclosure and transparency are the pillars of the federal securities laws. When selling securities, the key is to disclose to those who may want to purchase interests the material facts about the investment. Stated differently, transparency regarding the material facts …

SEC Sanctions Security-Based Swap Sellers Read More »

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The Supreme Court handed down its much anticipated decision in Salman this week, essentially reaffirming its seminal decision on illegal tipping in Dirks. In affirming the Petitioner’s conviction the Court rejected his contention that the personal benefit to the tipper …

This Week In Securities Litigation (Week ending December 9, 2016) Read More »

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