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The Supreme Court Levels the SEC Playing Field

USA - June 21 2018 In a highly anticipated decision, the United States Supreme Court ruled the practice employed for years by the Securities and Exchange Commission of...

SEC Encourages Advisors to Self-Report Fiduciary Violations by June 12, 2018

USA - February 14 2018 The SEC announced a self-reporting initiative for investment advisors who admit violations of the federal securities laws relating to certain mutual...

SEC Wants the Truth and Nothing but the Truth in Advertising

USA - September 19 2017 Tell the truth, the whole truth, and nothing but the truth: that’s the message to registered investment advisors from the Office of Compliance...

Dylan C. Black.

Supreme Court Decision Provides Significant Protection to Securities Industry, Limits SEC Enforcement

USA - June 7 2017 In a decision previewed in an earlier post, the United States Supreme Court ruled unanimously in Kokesh v. Securities and Exchange Commission that the...

Dylan C. Black.

Is There a Statute of Limitations on Disgorgement?

USA - February 22 2017 How long does the Securities and Exchange Commission (SEC) have to bring a lawsuit asking for disgorgement of unlawful gains? The United States...

Dylan C. Black.