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SEC Press Releases
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SEC Press Releases
17
Nov
SEC Adopts Rules to Improve Clearing Agency Governance and Mitigate Conflicts of Interest
SEC Press Releases
69
26
1373
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15
Nov
Charter Communications to Pay $25 Million Penalty for Unauthorized Stock Buybacks
SEC Press Releases
22
96
3474
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15
Nov
SEC Announces Enforcement Results for Fiscal Year 2023
SEC Press Releases
91
87
4887
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10
Nov
SEC Charges Former Co-CEOs of Tech Start-Up Bitwise Industries for Falsifying Documents While Raising $70 Million From Investors
SEC Press Releases
61
34
2859
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03
Nov
SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
SEC Press Releases
71
29
4298
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03
Nov
SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud
SEC Press Releases
81
27
2292
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02
Nov
SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
SEC Press Releases
55
38
1163
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01
Nov
SEC Charges Crypto Company SafeMoon and its Executive Team for Fraud and Unregistered Offering of Crypto Securities
SEC Press Releases
55
82
2874
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01
Nov
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
SEC Press Releases
64
55
4959
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31
Oct
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
SEC Press Releases
46
30
1412
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25
Oct
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
SEC Press Releases
72
31
4080
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18
Oct
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
SEC Press Releases
83
34
2473
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18
Oct
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
SEC Press Releases
81
98
1058
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17
Oct
SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community
SEC Press Releases
42
86
3628
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16
Oct
SEC Division of Examinations Announces 2024 Priorities
SEC Press Releases
83
68
3568
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13
Oct
SEC Adopts Rule to Increase Transparency Into Short Selling and Amendment to CAT NMS Plan for Purposes of Short Sale Data Collection
SEC Press Releases
34
86
2471
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13
Oct
SEC Adopts Rule to Increase Transparency in the Securities Lending Market
SEC Press Releases
45
48
2435
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11
Oct
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
SEC Press Releases
37
81
1927
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