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Client Alert: SEC Adopts Reporting Enhancements for Registered Investment Companies and Provides Guidance on Open-End Fund Liquidity Risk Management Programs
September 12, 2024
SEC Charges China-based QZ Asset Management Ltd. and its CEO in Pre-IPO Fraud Scheme
September 12, 2024
SEC Charges Brothers Jonathan and Tanner Adam with $60 Million Ponzi Scheme
September 12, 2024
MNPI: SEC Charges Sound Point Capital Management for Compliance Failures in Handling of Nonpublic Information
September 12, 2024
Crypto Compliance: SEC Charges Abra with Unregistered Offers and Sales of Crypto Asset Securities
September 12, 2024
Client Alert: Qualifying Venture Capital Funds Inflation Adjustment
September 12, 2024
SEC Rule Adoption: SEC Adopts Rule to Update Definition of Qualifying Venture Capital Funds
September 12, 2024
SEC Charges Transfer Agent Equiniti Trust Co. with Failing to Protect Client Funds Against Cyber Intrusions
September 12, 2024
SEC Approves New and Updated PCAOB Audit Standards and an Amendment to the PCAOB’s Contributory Liability Rule
September 12, 2024
SEC Charges Carl Icahn and Icahn Enterprises L.P. for Failing to Disclose Pledges of Company’s Securities as Collateral for Billions in Personal Loans
September 12, 2024
SEC Charges Virginia Engineer with Orchestrating $30 Million Offering Fraud
August 15, 2024
SEC Charges Andrew Left and Citron Capital for $20 Million Fraud Scheme
August 15, 2024
SEC Charges Nader Al-Naji with Fraud and Unregistered Offering of Crypto Asset Securities
August 15, 2024
SEC Charges Founder of Social Media Company “IRL” with $170 Million Fraud
August 15, 2024
SEC Proposes Joint Data Standards Under the Financial Data Transparency Act of 2022
August 15, 2024
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