Kilgour v. SEC
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By Samuel B. Edwards

Court confirms SEC denial of whistleblower award to two parties based on the SEC’s interpretation of providing “original” information that contributed to the successful prosecution of an action,

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Billingsley v. Ariz. Corp. Commission
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By Ben Suter

In a community property state, the “innocent” spouse is subject to sanctions, too.

Billingsley vs.

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SEC v. Gentile
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By James L. Komie

An “obey-the-law” injunction sought by the SEC is not time-barred as a matter of law by the 5-year statute of limitations for civil enforcement actions seeking a “penalty.”

SEC vs.

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That Didn’t Take Very Long! Just as Reg BI Goes into Effect, Seven States and DC Sue To Block It
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By George H. Friedman, SAA Editor-in-Chief

Just as the SEC’s Regulation Best Interest was about to go into effect September 10, several states and the District of Columbia sued to stop it.

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SEC v. Feng
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By Paul J. Dubow

*Identification of an investment entity as a limited partnership and the promise of a fixed return indicates that the investment is a security.

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SEC to Vote on Reg Best Interest June 5
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The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.

As our readers and followers know,

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