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30 Sec. Litig. 1 (2020)

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TABLE  OF CONTENTS


Articles a
What  Is Contemporaneous Trading under Section 20A?

The Third Circuit may be poised to answer this question as part of an interlocutory review.

SEC  Enforcement Actions Brought in Support of Foreiqn Securities Authorities
coy R'nard Cs.Bia
Tips for counseling clients in this unique and growing arena of SEC enforcement actions.

Critical Steps in Protecting the Attorney-Client Privilege While literfacing with Compliance
Consultants in SEC livestigations and Litigation
y  Brn R. :.CkSer 3and eph U. Wa1kinS
The commission and the courts have been clear that the defense of reliance on advice of counsel is of
great importance to facilitating compliance efforts. They have not been as clear when it comes to reliance
on consultants.

Maximizing Returns and Avoiding Liabiity in the investment and Management of Public Funds

Recent Pennsylvania and Colorado amendments highlight the importance of consistently reviewing state
legislation related to public funds and pensions.


Practice Points n
Four Tips for Broker-Dealers to Effectively Navigate the Enhanced Standard of Conduct Under
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Learn what you need to know before June 30, 2020.

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