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30 Sec. Litig. 1 (2020)

handle is hein.aba/scurlit0030 and id is 1 raw text is: W . . . . ..2.2 , Vc)l 3r. N. . TABLE OF CONTENTS Articles a What Is Contemporaneous Trading under Section 20A? The Third Circuit may be poised to answer this question as part of an interlocutory review. SEC Enforcement Actions Brought in Support of Foreiqn Securities Authorities coy R'nard Cs.Bia Tips for counseling clients in this unique and growing arena of SEC enforcement actions. Critical Steps in Protecting the Attorney-Client Privilege While literfacing with Compliance Consultants in SEC livestigations and Litigation y Brn R. :.CkSer 3and eph U. Wa1kinS The commission and the courts have been clear that the defense of reliance on advice of counsel is of great importance to facilitating compliance efforts. They have not been as clear when it comes to reliance on consultants. Maximizing Returns and Avoiding Liabiity in the investment and Management of Public Funds Recent Pennsylvania and Colorado amendments highlight the importance of consistently reviewing state legislation related to public funds and pensions. Practice Points n Four Tips for Broker-Dealers to Effectively Navigate the Enhanced Standard of Conduct Under Req. B! Byn youMndee Learn what you need to know before June 30, 2020.