Securities & Exchange Commission (SEC)
More Securities & Exchange Commission (SEC) Articles
Employee Benefits (ERISA)
In Re: Citigroup ERISA Litigation: Has The Death Knell Sounded For Stock Drop Cases?
Following the spectacular collapse of Enron in 2001, a cottage litigation industry was created in which a handful of plaintiffs’ firms now routinely rush to bring ERISA class actions whenever a pension plan invests in the stock of the corporate sponsor and the stock price declines...
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Book Review: The Hedge Fund Mirage: The Illusion of Big Money and Why It's Too Good to Be True
The Editor offers a review of Simon Lack's The Hedge Fund Mirage: The Illusion of Big Money And Why It's Too Good To Be True. Simon Lack is a 23-year veteran with JP Morgan in North America, where he oversaw fixed income derivatives and forward FX trading and ultimately...
Read MoreRegulatory & Compliance
The SEC Wants To Be Your Valentine
On February 14, 2012, Valentine’s Day, certain public and private companies will be required to file newly created Form ABS-15G with the Securities and Exchange Commission (the “SEC”). This new SEC filing requirement is mandated by Rule 15Ga-1 to the Securities Exchange Act of...
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