New York Attorney General Leticia James urged any New York resident affected by the recent crash in the cryptocurrency market to file a complaint with the state's Office of the Attorney General.
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A U.S. District Court held that compliance communications are not protected by attorney-client privilege or the work-product doctrine, and that the SEC can force an investment advisor to produce documentation of such communications.
The United States Court of Appeals for the Sixth Circuit dismissed a challenge to the expansion of MSRB "pay-to-play" rules to municipal advisors.