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Systemic Risk Council: A Call To Action
As a public service, the Editor presents the following statement dated June 18, 2012 of the Systemic Risk Council. The Systemic Risk Council (SRC or Council) is a private sector, non-partisan body of former government officials and financial and legal experts committed to addressing...
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The Securities Class Action Opt-Out Plaintiff: By The Numbers
Securities class actions provide an efficient remedy when individual investors’ losses are small. When the amounts at issue are not sizable, aggregation of investors’ claims through the vehicle of a class action can provide recovery for investors where it would not have been in any...
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Information Barriers At Broker-Dealers
The SEC’s staff has released a report[1] of its observations following an examination of 19 brokerage firms’ programs to protect against the misuse of material nonpublic information (MNPI).[2] The reviews assessed each broker-dealer’s information barriers for compliance with...
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