Securities Regulation Daily Wrap Up
- TOP STORY—Securities law academics urge SEC to do more on human capital
- ENFORCEMENT—$6.9M paid by Boston investment advisor to settle Rule 105 short sale violations
- FRAUD AND MANIPULATION—W.D.N.Y.: SEC charges Rochester NY with misleading investors in $119M bond offering
- FRAUD AND MANIPULATION—N.D. Tex.: Former EarthWater CFO among others plead guilty to fraud charges in high-yield investment scheme
- FRAUD AND MANIPULATION—SEC charges investment adviser for allocating deal-related expenses disproportionately
© 2022 CCH Incorporated and its affiliates and licensors. All rights reserved.