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SEC Charges Morgan Stanley Smith Barney for Policy Deficiencies that Resulted in Failure to Prevent and Detect its Financial Advisors’ Theft of Investor Funds
December 14, 2024
SEC Charges Three Individuals with Impersonating Financial Professionals in Fraud Scheme Targeting Retail Investors
December 14, 2024
SEC Charges Former Representative of Advisory Firm SeaCrest with Cherry-Picking
December 14, 2024
SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures
December 14, 2024
SEC Division of Examinations Announces 2025 Priorities
November 5, 2024
SEC Charges Three So-Called Market Makers and Nine Individuals in Crackdown on Manipulation of Crypto Assets Offered and Sold as Securities
November 5, 2024
SEC Charges Advisory Firm with Failing to Adhere to Its Own Investment Criteria For ESG-Marketed Funds
November 5, 2024
SEC Small Business Advisory Committee: Venture Capital Fundraising and Emerging Fund Managers
November 5, 2024
SEC Adopts Rule Amendments and New Rule to Improve Risk Management and Resilience of Covered Clearing Agencies
November 5, 2024
SEC Enforcement: JP Morgan Affiliates to Pay $151 Million to Resolve SEC Enforcement Actions
November 5, 2024
CCO Update: SEC Examination Priorities (FY2025)
November 5, 2024
SEC Charges Rimar Capital Entities and Owner Itai Liptz for Defrauding Investors by Making False and Misleading Statements About Use of Artificial Intelligence
October 10, 2024
SEC Charges Three So-Called Market Makers and Nine Individuals in Crackdown on Manipulation of Crypto Assets Offered and Sold as Securities
October 10, 2024
SEC Announces Departure of Enforcement Director Gurbir S. Grewal
October 10, 2024
SEC Monitoring Impact of Hurricane Helene on Capital Markets
September 30, 2024
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