Section 17(a)

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SEC’s Recent Admissions Case Muddies Standard

The SEC famously announced last year that it would insist upon admissions in settled cases involving egregious conduct – instead of its long-standing “neither admit nor deny” rubric. But its recent Scottrade action has the...more

Section 17(a) of the Securities Act of 1933: Unanswered Questions

In recent years, the Securities and Exchange Commission has increasingly relied on Section 17(a) of the 1933 Securities Act. Indeed, many of the cases the SEC has brought in the wake of the recent financial crisis have been...more

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