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SEC Decision Regarding TIC Advertisements Offers Broader Lessons About Providing Fair and Balanced Disclosures

Earlier this year, the SEC found that CapWest Securities, Inc., a defunct broker-dealer, had failed to comply with advertising rules in promoting investments that use Section 1031 of the Internal Revenue Code (“1031...more

Corporate and Financial Weekly Digest - January 25, 2013

In this issue: - CBOE Proposes to Amend Preferred Market Maker’s Continuous Quoting Obligations - FATCA Regulations Are Finalized - CFTC to Host Roundtable on “Futurization” of Swaps - CFTC Amends Order of...more

Morgan Stanley Revelations Raise The Specter Of 2008… Again

This week, The New York Times’ Dealbook dragged the specter of 2008 back into the spotlight. A piece authored by ProPublica’s Jesse Eisinger shared “explosive” revelations about what some Morgan Stanley traders knew...more

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