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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]...

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