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SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and Obtains Emergency Relief
December 27, 2023
SEC Charges UAE-Based Brooge Energy and Former Executives with Fraud
December 27, 2023
Dean C. Metry Named Chief Administrative Law Judge at SEC
December 27, 2023
Exchange Act Exemptive Notice: Order Granting Broker-Dealers Exemptive Relief, Pursuant to Section 36(a) and Rule 15c2-11(g) under the SEA, from Rule 15c2-11 for Securities Sold in Compliance with the Safe Harbor of Rule 144A
December 27, 2023
Exchange Act Exemptive Notice: Order Granting Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rule 608(e) of Regulation NMS under the Exchange Act
December 27, 2023
SEC Notice: Vista Financial Advisors, LLC (Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940)
December 27, 2023
SEC Statement: Custody of Digital Asset Securities by Special Purpose Broker-Dealers; Statement and Request for Comment
December 27, 2023
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
November 10, 2023
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
November 10, 2023
SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities
November 10, 2023
Rule Adoption: SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
November 10, 2023
SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud
November 10, 2023
SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
November 10, 2023
SEC Charges Former Co-CEOs for Falsifying Documents While Raising $70 Million From Investors
November 10, 2023
SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community
October 17, 2023
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