January 28, 2019

Jim Lundy Comments on SEC Backlog

Partner Jim Lundy spoke with Law360 for an article titled “SEC Grapples With Monthlong Backlog, Prioritizes Actions.” Jim discussed the impact of the government shutdown on the SEC’s operations, particularly with respect to the Share Class Selection Disclosure Initiative. He further spoke about the SEC’s prioritization of the Share Class Selection Disclosure Initiative matters given the upcoming deadline for the first wave of settlements. Regarding the CFTC, Jim commented that while the agencies regulate different aspects of the financial sector, the CFTC’s efforts to manage its backlog will be similar by prioritizing certain matters in the short-term.

The Faegre Baker Daniels 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 Baker Daniels' cookies information for more details.