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SEC Introduces “Control Person” Liability as Enforcement Action Weapon in Claim Against Municipal Officer for Misleading Bond...

The U.S. Securities and Exchange Commission recently settled the first securities fraud charges brought against a municipal official alleging “control person” status under the federal securities laws. The SEC’s settlement...more

Participation Not Required: SEC Charges Mayor as Control Person in Municipal Bond Offering

In an unprecedented exercise of its authority to charge municipal officials with “control person” liability, the Securities and Exchange Commission (SEC) recently announced fraud charges against the City of Allen Park,...more

SEC Charges Private Equity Firm with Pay-to-Play Violations

For the first time since passing Rule 206(4)-5, the Securities and Exchange Commission (SEC) has charged a Philadelphia-area private equity firm with violations of the pay-to-play rule. The case concerns contributions made...more

Newsletter of the Advertising, Marketing & Media Practice Group of Manatt, Phelps & Phillips, LLP

IN THIS ISSUE: *Reminder ? We?ll See You in Chicago on November 20 at the 30th Annual PMA Law Conference *Obama, Democrat Win Could Mean More Ad Rules *After Warning, Starbucks Alters Election Day Promo *Brand Owners...more

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