StraightPath Venture Partners, LLC and PMAC Consulting have recently reached settlements with the US Securities and Exchange Commission (SEC) following SEC enforcement actions against them....more
Who may be interested: Registered Investment Companies; Investment Advisers and Broker-Dealers engaging in swap transactions - Quick Take: The SEC adopted rules under the Exchange Act to implement the Exchange Act’s...more
Ninth Circuit Holds Loss Causation May Be Predicated on Information Potentially Available Under Freedom of Information Act; D.C. Circuit Upholds FINRA’s Permanent Ban of Broker Accused of Misconduct After Finding SCOTUS...more