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Daily Archives: December 26, 2015

Paper – SEC Enforcement Actions Against Broker-Dealers

Posted by Jon Eisenberg, K&L Gates LLP, December 26, 2015 – Harvard Law School Forum on Corporate Governance and Financial Regulation: “In its 2015 Financial Report, the SEC repeated its view that one of the two principal purposes of the Securities Act of 1933 and the Securities Exchange Act of 1934 is to ensure that “people who sell and trade securities—brokers, dealers and exchanges—must treat investors fairly and honestly, putting investors’ interests first.” Broker-dealers have been and remain a critical focus of the Commission’s enforcement program. In the first 11 months of 2015, the SEC brought enforcement actions against broker-dealers in approximately two dozen distinct areas, with sanctions ranging from less than $100,000 to nearly $180 million. In the vast majority of these cases, the central theme was that broker-dealers did not put investors’ interests first or otherwise failed to comply with safeguards (such as registration provisions) designed to protect investors. Nevertheless, because broker-dealers engage in such a wide range of activities, the variety of cases is striking. They cover the waterfront of broker-dealer practices. We discuss the more significant cases below under the following categories…”

The Past, Present, and Future of Canadian Environmental Law

MacLean, Jason and Doelle, Meinhard and Tollefson, Chris, The Past, Present, and Future of Canadian Environmental Law: A Critical Dialogue (December 1, 2015). (2015-2016) 1:1 Lakehead Law Journal 79. Available for download at SSRN: “In this critical dialogue, Jason MacLean, an assistant professor at the Bora Laskin Faculty of Law at Lakehead University whose… Continue Reading Enhancements close out 2015

Via Andrew Weber, Library of Congress: “Today’s update on end of year enhancements includes a new Quick Search for legislation, the Congressional Record Index (back to 1995), and the History of Bills from the Congressional Record Index (available from the Actions tab).  We have also brought over the State Legislature Websites page from THOMAS, which has… Continue Reading

SIPRI Top 100 arms-producing and military services companies, 2014

SIPRI news release, December 15, 2015: “Sales of arms and military services by the largest arms-producing companies—the SIPRI Top 100—totalled $401 billion in 2014 according to new international arms industry data launched today by the Stockholm International Peace Research Institute (SIPRI). Download the Fact Sheet, The SIPRI Top 100 arms-producing and military services companies, 2014… Continue Reading

CRS – Arms Sales: Congressional Review Process

Arms Sales: Congressional Review Process. Paul K. Kerr, Analyst in Nonproliferation. December 17, 2015. “This report reviews the process and procedures that currently apply to congressional consideration of foreign arms sales proposed by the President. This includes consideration of proposals to sell major defense equipment, defense articles and services, or the re-transfer to third party… Continue Reading