In the Margins
The Securities and Exchange Commission has pulled back on using in-house judges rather than fighting cases in the federal courts. The agency has defended the practice, but an analysis by The Wall Street Journal earlier this year showed that the SEC has a home-court advantage when using its tribunal. Read the original story from The Wall Street Journal.
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Over the past several weeks, I have written articles exploring conflicts of interest that could challenge a variety of financial industry participants. Those articles explored potential ...
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The Investment Company Institute this week made public a set of recommendations to reform and modernize the Investment Company Act of 1940, which has not been ...
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