Try our Advanced Search for more refined results

Expert Analysis

What We Can Learn From SEC's Oppenheimer Dissent

Law360, New York ( February 13, 2015, 6:31 PM EST) -- On Jan. 27, 2015, the U.S. Securities and Exchange Commission issued an order granting a waiver to Oppenheimer & Co. Inc., a full-service broker-dealer, from automatic disqualification under Rule 506(d) of the SEC's Regulation D (the "waiver order") in connection with Oppenheimer's violations of the Securities Act of 1933 (the "Securities Act") and the Securities Exchange Act of 1934 (the "Exchange Act") — violations for which the SEC issued, on the same day, a cease-and-desist order and assessed civil money penalties, disgorgement and interest of $10 million.[1]...

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Law Firms

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!