We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
Results 1 to 5 of 11
Most popular |Most recent


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.