Marc Powers

Marc Powers

BakerHostetler

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Who's Your Supervisor? The SEC Sheds Further Light on the Subject

The recent issuance of frequently asked questions and interpretive answers by the SEC's Division of Trading and Markets (the "FAQs") clarifies a "disturbingly murky" area of the federal securities law -- namely, what facts...more

10/18/2013 - Compliance SEC Securities Exchange Act Supervisors

Third Circuit Holds Rule 10b-5 Violations May Be Imputed to Investment Management Company on Basis of Apparent Agency

The United States Court of Appeals for the Third Circuit recently issued a decision that highlights the importance of investment management companies using extreme caution when promoting investment products to their clients,...more

3/19/2013 - FINRA Fraud Hedge Funds Investment Management Marketing Ponzi Scheme Securities Exchange Act Vicarious Liability

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