From their creation in 1993, the New York State Supreme Court Commercial Division Rules have been developed and refined by judges and practitioners to pursue the twin goals of cost containment and fair adjudication.
Last year, a group of state attorneys general (AGs) filed suit against the Securities and Exchange Commission (SEC), challenging the agency’s Regulation BI (Best Interest), enacted in June 2019..
Can the Supreme Court’s 2017 decision in Kokesh v. SEC, which found that disgorgement is a penalty and not an equitable remedy for statute of limitations purposes, be logically expanded to spell the end of the SEC’s long-standing and widely accepted practice of seeking disgorgement from ...
Led by New York Attorney General Letitia James, a group of eight state AGs filed suit against the Securities and Exchange Commission (SEC), challenging the agency’s recently enacted Regulation BI (Best Interest).
By a 3-to-1 vote, the Securities and Exchange Commission (SEC) adopted a rulemaking package concerning investment adviser and broker-dealer standards of conduct.