During the current partial government shutdown when few SEC Enforcement actions are being filed or settled it may be a good time to begin considering the future of the program. The Division has repeatedly announced that its focus is retail …
Tag: state of mind
The Future Course of SEC Enforcement
Tagged with: disgorgement, Emules, Kokesh, Lorenzo, Lucia, Primary liability, SEC, state of mind, venue
The Supreme Court and Securities Litigation: Emulex
The Supreme Court may reshape SEC Enforcement by the end of this Term. The Court has already heard argument in Lorenzo v. SEC, No. 17-1077where the critical issue is the scope of primary liability under Exchange Act section 10(b). That …
The Supreme Court and Securities Litigation: Emulex
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