News & Analysis as of September 21, 2024

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Hot Topics in International Trade with Braumiller Law Group: Customs Broker Modernization Regulations 19 CFR 111
Investment Management Roundtable Discussion – Data Privacy and Security
SEC Activity with Fixed Income and Credit Funds
Bill on Bankruptcy: Easterbrook Turns the Tide on Student Loans
Confirmations: Plugging Into Electronic Confirmations
Bill on Bankruptcy: Rakoff Reverses Himself in Madoff Case

Securities Litigation Results in Win for Broker and Clarifies Law in the Eighth Circuit

Mitchell, Williams, Selig, Gates & Woodyard,... on 1/5/2021

Through an investment bank (acting as broker), clients invested in Reverse Convertible Notes (RCNs). RCNs are a complex “structured financial product” that is sometimes championed as a high-yield, short-term investment...more

SEC Staffer Cautions Private Funds Industry on Potential Broker Registration Issues

Proskauer Rose LLP on 4/29/2013

In a recent speech given to the ABA Trading and Markets Subcommittee, David W. Blass (Chief Counsel of the SEC's Division of Trading and Markets) focused on a number of activities commonly conducted by private fund advisers...more

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Brokers › Investment Banks

Securities Litigation Results in Win for Broker and Clarifies Law in the Eighth Circuit

SEC Staffer Cautions Private Funds Industry on Potential Broker Registration Issues

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