Search for: "FEDERAL LAW ENFORCEMENT OFFICERS ASSOCIATION et al v. GREWAL et al"
Results 1 - 2
of 2
Sorted by Relevance
|
Sort by Date
10 Jul 2024, 9:01 pm
Time and again, federal courts focused on the economic reality of the transactions at issue and the broad investor protections Congress intended to advance in enacting the federal securities laws. [read post]
24 Oct 2023, 9:01 pm
Let me conclude by addressing the proverbial elephant that shows up in any room where a regulator like me is speaking to those working in compliance: when does the Enforcement Division recommend charges against a compliance officer? [read post]
