Results 1 to 5 of 20

Massachusetts Promulgates Broker-Dealer Fiduciary Rule

USA - March 4 2020 On February 21, the Massachusetts Securities Division (the Division) became the first state regulator to finalize a rule to hold broker-dealers and…

Kenneth Ashton, Robert A. Buhlman, W. Hardy Callcott, Elizabeth A. Marino, Corin R. Swift, Paul M. Tyrrell, Corey D. Winer

Supreme Court Expansively Interprets Reach of Antifraud Provisions of the Federal Securities Laws

USA - March 29 2019 On March 27, in Lorenzo v. SEC, the U.S. Supreme Court issued a much anticipated opinion concerning the reach of Securities and Exchange Commission…

Stephen L. Cohen, Christopher R. Mills, Barry W. Rashkover, Hille R. Sheppard, Andrew W. Stern

SEC enforcement quarterly - 4th quarter 2017

USA - February 6 2017 The SEC finished its 2016 Fiscal Year with a continued emphasis on bringing enforcement actions across numerous areas of the federal securities laws…

Barry W. Rashkover

SEC enforcement quarterly - 3rd quarter 2016

Ireland, United Kingdom, USA - December 1 2016 For the last several years, as we have observed in previous editions of the Quarterly, an increasing number of individuals or entities have sought to…

Paul V. Gerlach, Barry W. Rashkover

SEC enforcement quarterly - 2nd quarter 2016

Canada, USA - August 23 2016 As we have reported previously, in a prior edition of the SEC Enforcement Quarterly, the enactment of the Dodd-Frank Wall Street Reform and Consumer…

Paul V. Gerlach, Barry W. Rashkover