Regulators Hit Jackpot: Off-Channel Communications -
Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about...more
10/11/2023
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On July 27, the U.S. Court of Appeals for the Eleventh Circuit issued a precedential decision in Drazen v. Pinto, which centered on an "argument over the meaning of coupon settlements."
Originally published in Law360 on...more