‘Enforcement 40’ for 2020
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By Securities Docket on June 10, 2019, 8:04 am
SEC v. Scoville expands the scope of the SEC’s enforcement authority beyond the limitations imposed by Morrison, returning to the so-called “conduct-and-effects” test to determine extraterritoriality. This departure creates uncertainty about the scope of the SEC’s enforcement authority and additional risk for foreign entities and individuals. via A New Era of Extraterritorial SEC Enforcement Actions.
By Securities Docket on June 10, 2019, 7:50 am
The U.S. Securities and Exchange Commission has named David Peavler, general counsel of the Irving financial services frim HD Vest Financial, to lead the agency’s Texas office. via SEC an opportunity new regional director couldn’t pass up – HoustonChronicle.com.