Securities & Exchange Commission (SEC)

Finance

Neal R. Troum | Stradley Ronon Stevens & Young, LLP

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...

Finance

Kathy H. Rocklen | Proskauer

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...

Finance | Private Equity

Heath P. Tarbert, Sunny J. Thompson, Robert J. Lemons, Michael Horowitz, Eric J. Peterman, Ariel Kronman, Hyun K. Kim, David E. Wohl, Richard I. Ellenbogen, John J. Dedyo, Shawn Kodes, Adia Goss, Brian A. Waldbaum, Walter E. Zalenski, Timothy C. Welch, Christian Bartholomew, Sarah S. Nilson, Holly J. Gregory, Rebecca C. Grapsas | Weil, Gotshal & Manges LLP

Editor’s Note: This report discusses steps to reduce the likelihood of a future recession and is therefore of great importance to all our readers. Our thanks go to Weil, Gotshal & Manges LLP and its Financial Regulatory Reform Working Group for their efforts. ...