Securities Regulation Daily
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Opt-out suits were not part of a ‘single action’ with prior, settled class action
Opt-out suits brought by class members were not part of a "single action" with the settled class action and were not precluded by the SLUSA.
Financial planners join battle over SEC’s Regulation BI
Two financial planning firms field suit to challenge the validity of the SEC’s Regulation BI on largely the same grounds as multiple state attorneys general did just days before, although some...
Judge wary CFTC may be subjecting software developer to discovery-related fishing expedition
In a CFTC enforcement action being pursued after an unsuccessful criminal prosecution, the court put the defendants’ motion for summary judgement on hold but pared down the eight-month...
8 attorneys general sue SEC over Regulation Best Interest
The lawsuit argues that the SEC’s rule does not satisfy Dodd-Frank’s authorization to harmonize standards of conduct between broker-dealers and investment advisers.
Clayton laments global neglect in anti-corruption enforcement
SEC Chairman Jay Clayton suggested that a lack of global coordination in stemming corruption can create incentives for companies to cheat.