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27 Sec. Litig. 1 (2017)

handle is hein.aba/scurlit0027 and id is 1 raw text is: 













TABLE  OF  CONTENTS


Articles >
A Statutory Solution to insider Trading?
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A statute directed at making sure that investors in the stock market cannot rely in any way on nonpublic
information may be the way to go.

FINRA  Update: Task Force  Recommendations   and  Rule Changes

A summary  of the key recommendations to enhance the efficiency, transparency, and fairness of the
dispute resolution system.

An Update  on Excessive Fee  Litiaton under  the investment Comnarn,  Act
   By  ..b ...n P.       .o.by. D av. S . C n y an A -o T. M or. ..r ....is.. .. .. ... .....











Will the current wave of litigation be as unsuccessful as the previous ones?

FINRA  Update: Another  Busy Year for the Financial industry Regulatory Authority

The authority was active again in 201 6, in working to enhance its arbitration and mediation forums.

Practice Points»>
Constitutional Challenge to SEC Administraive  Law Judg~e Upheld  by Tenth Circuit
The sole question was whether the commission's administrative law judges are inferior officers under the
Appointments Clause.

Pleading Section 11 Liability for Secondary Offerings
The commission  continues to report failures in the management of these conflicts.

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