‘Enforcement 40’ for 2020
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By Securities Docket on July 27, 2018, 9:53 am
Perhaps the most important thing last year should be the appreciation of the entire market for the fact that the SEC will not relinquish its regulatory responsibilities in light of recent technological developments. Or at least the investment opportunities they present. This may mean that the market could now enter a compliance phase where securities […]
By Securities Docket on July 27, 2018, 9:52 am
There has been renewed interest in whether the SEC should allow a U.S. company to conduct a registered initial public offering if its bylaws require shareholders to arbitrate federal securities claims. In April 2018, SEC Chair Jay Clayton said that resolving this knotty issue is not a priority for the Commission, but the Supreme Court’s […]