Paul Borden

Paul Borden

Morrison & Foerster LLP

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Structured Thoughts: News for the financial services community, Volume 8, Issue 1

U.S. Court of Appeals Upholds SEC’s Backtesting Finding - In a 2016 case before the U.S. Court of Appeals for the D.C. Circuit, a former investment adviser lost a petition to review and vacate the decision of an SEC...more

1/25/2017  /  Broker-Dealer , Department of Labor (DOL) , Examination Priorities , Fiduciary Rule , Financial Industry Regulatory Authority (FINRA) , OCIE , Securities and Exchange Commission (SEC)
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