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The weekly news source for investment management legal and compliance professionals

News July 1, 2019 Issue

Clayton Addresses Recent Court Rulings and the Path Forward

The SEC has been buffeted by several court decisions in recent years – Kokesh in 2017, Lucia in 2018, Robare and Lorenzo this year. At least two of these had a negative impact on how the agency’s Division of Enforcement operates, while one can be seen as enhancing the Division’s enforcement authority. SEC Chairman Jay Clayton, in a recent speech, described his thoughts about these decisions and how the SEC intends to move forward.

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