Burr & Forman

Securities Litigation

04.19.2014 | by: Robert V. Williams

The Limits of SLUSA Preemption

In 1995, the Private Securities Litigation Reform Act (“PSLRA”) was passed to limit frivolous and unwarranted securities lawsuits.   15 U.S.C. §78u—4.   While private…

04.10.2014 | by: Kip A. Nesmith

Closed End Funds

The Financial Industry Regulatory Authority ("FINRA") has, in recent months, increased its regulatory focus on investor awareness regarding closed-end funds ("CEFs").   In October of…

03.31.2014 | by: Benjamin B. Coulter

Emphasis on Enforcement

In back-to-back keynote addresses Monday to the Securities & Financial Markets Association's annual Compliance & Legal meeting, SEC-Chair Mary Jo White and Southern District of…

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