Still More On Whether The SEC Exceeded Its Authority In Adopting Rule 21F-17
Posted on September 12, 2024

Yesterday's post again discussed whether the Securities and Exchange Commission exceeded its authority in adopting Rule 21F-17(a), which provides:

Does The SEC's Jurisdiction Really Extend To Any Person?
Posted on September 09, 2024

Last week, the Securities and Exchange Commission announced that it had settled charges against a broker-dealer and two investment advisers for impeding their clients from reporting securities law violations to the SEC. According to the SEC, the...

If A Contract Creates No Legally Enforceable Rights, Is It A Contract?
Posted on June 04, 2024

The word "contract" is derived from the Latin word contrahere which means to draw (or drag) together.   The California Civil Code defines a "contract" as "an agreement to do or not to do a certain thing". Cal. Civ. Code § 1549. The estimable Bernard...

SEC Continues To Pay Out Millions In Secrecy
Posted on January 25, 2017

Earlier this week, the Securities and Exchange Commission announced awards to three whistleblowers totaling more than $7 million.  That is about all anyone can say about the awards.  The SEC's order is only 448 words long, including numerous...

1