The recent issuance of frequently asked questions and interpretive answers by the SEC's Division of Trading and Markets (the "FAQs") clarifies a "disturbingly murky" area of the federal securities law -- namely, what facts...more
Hedge fund and other private investment fund managers, both domestic and foreign, those registered or not, beware. SEC Chairman Mary Jo White's crackdown on securities violations continued last Tuesday with the announcement...more
Last Friday, the SEC, FINRA and CFTC issued joint guidance (Joint Guidance) on the "best practices and lessons learned" from their review of the business continuity and disaster recovery plans of firms as a result of the...more
On July 31, 2013, the U.S. Securities and Exchange Commission (SEC) announced that two investment advisers allegedly failed to seek best execution on client trades placed with their in-house brokerage divisions and misled...more
Table of Contents -
I. Supreme Court Case Review (October 2012 Term)
II. Rule 10b-5 Cases
III. Investment Adviser and Hedge Fund Cases
IV. Settlements
V. Commodities and Futures Litigation and...more
7/31/2013
/ Amgen Inc. v Connecticut Retirement Plans ,
Comcast ,
Commodities ,
Enforcement Actions ,
Gabelli v SEC ,
Hedge Funds ,
Investment Adviser ,
Rule 10b-5 ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation