August 28, 2014

The Future of SEC Enforcement Actions: Negligence-Based Charges Brought in Administrative Proceedings?

Philadelphia partners Mary Hansen and William Carr wrote an article for the September issue of The Investment Lawyer.  The article, titled, “The Future of SEC Enforcement Actions: Negligence-Based Charges Brought in Administrative Proceedings?” discussed how the SEC’s increased enforcement efforts and use of administrative proceedings have had significant implications for the investment advisory industry.

Click here to read the full article.

The Faegre Drinker Biddle & Reath LLP website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Drinker Biddle & Reath LLP's cookies information for more details.