Posts in Securities Law.
SEC Requests Proposals to Innovate Markets for Thinly Traded Securities

The Securities and Exchange Commission (“SEC”) is considering implementation of regulatory changes in order to improve secondary market structures for thinly traded securities. It has announced a request for exchanges, issuers, investors, or other market participants to submit proposals that will facilitate market structure innovations that would meaningfully enhance trading.

When you're faced with the SEC or a FINRA hearing, whether in court, an arbitration, or a hearing due to regulatory action being taken against you or your firm, you'll probably be considering bringing on an expert witness to...

Earlier this month, a federal jury ruled against the founder of F-Squared Investments, Howard Present, in a case that was first brought to court almost two years ago. The firm, at one time, was the largest marketer of index...

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