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Searching Content indexed under Securities by Michael Trager ordered by Published Date Descending.
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The SEC's "Regulation Best Interest," Form CRS, And Investment Adviser Interpretations: Does The New Framework Actually Protect The Best Interest Of Customers And Clients?
On June 5, 2019, the US Securities and Exchange Commission approved the following new rules and interpretations aimed at clarifying the duties that broker-dealers and investment advisers owe to their retail customers and clients:
United States
3 Jul 2019
2
Supreme Court To Decide Whether The SEC Can Pursue Fraudulent Scheme Claims Where The Janus Test Is Not Met
On June 18, 2018, the Supreme Court granted Francis V. Lorenzo's petition for certiorari in Lorenzo v. S.E.C., No. 17-1077, to decide whether an action ...
United States
24 Jul 2018
3
Supreme Court Holds That SEC Administrative Law Judges Are Officers Of The United States Under The Appointments Clause Of The Constitution
On June 21, 2018, a 7-2 majority of the United States Supreme Court held in Lucia v. Securities and Exchange Commission that administrative law judges (ALJs) of the Securities and Exchange Commission ...
United States
4 Jul 2018
4
Arnold & Porter Discusses Regulators' Clamp-Down On ICOs, Virtual Currencies, And Blockchain Firms
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
United States
3 May 2018
5
Supreme Court To Decide Whether The SEC's Administrative Law Judges Are Officers Of The United States Under The Appointments Clause Of The Constitution
On April 23, 2018, the United States Supreme Court heard oral argument in Lucia v. Securities and Exchange Commission to decide whether administrative law judges (ALJs) of the Securities and Exchange Commission...
United States
30 Apr 2018
6
Supreme Court To Decide Whether American Pipe Permits Successive Class Actions After Statute Of Limitations Has Expired
On March 26, 2018, the United States Supreme Court heard oral argument in China Agritech, Inc. v. Resh to decide whether tolling principles permit an absent class member ...
United States
2 Apr 2018
7
Supreme Court To Whistleblowers: If You See Something, Say Something (To The SEC)
On February 21, 2018, the US Supreme Court unanimously held in Digital Realty Trust, Inc. v. Somers that whistleblowers must report their concerns to the SEC in order to be protected by the anti-retaliation provisions ...
United States
28 Feb 2018
8
United States v. Martoma: The Second Circuit's Latest Attempt To Clarify The "Personal Benefit" Requirement In Insider Trading Cases
The Second Circuit has implemented yet another significant change to insider trading law. In United States v. Martoma, issued on August 23, 2017, the court walked back much of what it said...
United States
4 Sep 2017
9
Supreme Court Unanimously Holds That Five-Year Limitations Period Applies To Sec Civil Disgorgement Claims
On June 5, 2017, the United States Supreme Court unanimously held in Kokesh v. SEC that a five-year limitations period applies to disgorgement claims brought by the United States SEC...
United States
8 Jun 2017
10
Supreme Court To Decide Limitations Period For Securities And Exchange Commission Enforcement Matters
On April 18, 2017, the United States Supreme Court heard oral argument in Kokesh v. SEC to determine whether disgorgement of ill-gotten gains in civil actions brought by the SEC is subject to a five-year statute of limitations period...
United States
24 Apr 2017
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