More Securities & Exchange Commission (SEC) Articles

Finance

Commodity Futures Trading Commission Update

CFTC Amends CPO And CTA Rules; NFA Adopts Test Waiver And Swap De​signation For Members The Commodity Futures Trading Commission (CFTC) recently broadened the scope of its rules governing the operations and activities of commodity pool operators and commodity trading advisors...

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Banking | Finance

Systemic Risk Council: A Call To Action

As a public service, the Editor presents the following statement dated June 18, 2012 of the Systemic Risk Council. The Systemic Risk Council (SRC or Council) is a private sector, non-partisan body of former government officials and financial and legal experts committed to addressing...

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Finance

The Securities Class Action Opt-Out Plaintiff: By The Numbers

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...

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