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Key Takeaways from ABA Panel on FINRA’s 2021 Exam Findings and Regulatory Priorities

SEC decision seen as first step toward brokers’ mainstream cryptocurrency use

SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College

SEC Updates List of Firms Using Inaccurate Information to Solicit Investors

Lawmakers Consider Tax Hike on Private Equity

The SEC could cripple Robinhood’s business model by enforcing existing rules, experts say

SEC Adopts Modernized Marketing Rule for Investment Advisers

Relief for Pre-Verified Accredited Investors May Encourage Rule 506(c) Offerings

Statement of Acting Chair Allison Herren Lee on Empowering Enforcement to Better Protect Investors

Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers

Limiting SPAC-Related Litigation Risk: Disclosure And Process Considerations

FINRA Publishes 2021 Report on FINRA’s Examination and Risk Monitoring Program

Lessons Learned from OFAC’s 2020 Enforcement Actions

Remote Work The New Normal: SIFMA Proposes Broad Rule Revisions

The Anti-Money Laundering Act of 2020 - Expanding AML Reporting Responsibilities to Small Businesses