In her remarks at PLI’s SEC Speaks, SEC Commissioner discussed the question of retroactivity as it might apply to various provisions of Dodd-Frank (here). There are of course a number of provisions in the Act which enhance the authority of …

FINRA RULE NOT RETROACTIVE Read More »

In SEC v. Microtune, Inc., Civil Action no. 3:08-CV-1105 (N.D. Tx.) the court concluded that the Commission’s option backdating claims and virtually of its remedies were time barred. In reaching this conclusion the court held that the Commission had not …

SEC OPTION BACKDATING CLAIMS AND RELIEF HELD TIME BARRED Read More »