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Subject Matter Jurisdiction Broker-Dealer

Goodwin

California State Court Upholds Exclusive Federal Forum-Selection Charter Provision for 1933 Act Suits

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California State Court Upholds Exclusive Federal Forum-Selection Charter Provision for 1933 Act Suits; California District Court Dismisses Fraud-Related Claims Against AT&T; Third Circuit Holds Challenge to SEC’s Decision to...more

Bass, Berry & Sims PLC

Chris Lazarini Discusses Subject Matter Jurisdiction in Expungement Petitions

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed whether a federal court has subject matter jurisdiction over an expungement petition. While several courts have previously said no, this court directed the parties brief...more

Carlton Fields

Multiple Plaintiffs Take Shot at SEC Regulation Best Interest

Carlton Fields on

The Securities and Exchange Commission’s Regulation Best Interest faces a bumpy road in the wake of recent lawsuits challenging the appropriateness and effectiveness of the rule....more

Vedder Price

Investment Services Regulatory Update - September 2017

Vedder Price on

Market and Product Developments - Securities Industry Implements T+2 Settlement Cycle - On September 5, 2017, the securities industry transitioned to a shorter settlement cycle for most broker-dealer securities...more

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