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SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze
October 19, 2021
SEC Modernizes Filing Fee Disclosure and Payment Methods
October 19, 2021
SEC Awards $40 Million to Two Whistleblowers
October 19, 2021
SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021
October 19, 2021
Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers (Conformed to Federal Register version) File No: S7-11-21
October 19, 2021
Compensation Clawbacks: Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation (File No: S7-12-15)
October 19, 2021
SEC Obtains Judgment Against Massachusetts Man Who Defrauded Investors in International Real Estate Investment Scheme
October 19, 2021
Article: Gensler backs tougher disclosure rules for SPACs
October 13, 2021
SEC Charges Investment Adviser, Affiliated Broker-Dealer and Their President for False and Misleading Statements and Omissions (Litigation Release No. 25238)
October 13, 2021
SEC Charges Rogue Trader Who Bankrupted His Firm (Litigation Release No. 25239)
October 13, 2021
SEC Enforcement: SEC Obtains Final Judgment Against Long Island Investment Professional Charged with Defrauding Investors (Litigation Release No. 25242)
October 13, 2021
SEC Enforcement: SEC Obtains Emergency Relief Freezing Assets and Halting an Alleged Ongoing Investment Advisory Fraud (Litigation Release No. 25241)
October 13, 2021
FINRA Enforcement: Member Firm and The AMLCO Failed To Maintain A Reasonable AML Program (Complaint No. 2016049565901)
October 13, 2021
FINRA Enforcement: Registered Representative Fraudulently Misrepresented and Omitted Material Facts, Recommended Unsuitable Securities, Converted Funds, and Created and Used Marketing Materials That Violated Standards (Complaint No. 2016051493704)
October 13, 2021
CFTC Enforcement: CFTC Charges 14 Entities for Failing to Register as FCMs or Falsely Claiming to be Registered
October 13, 2021
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