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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
58
3541
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15
Nov
Charter Communications to Pay $25 Million Penalty for Unauthorized Stock Buybacks
SEC Press Releases
99
49
4378
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15
Nov
SEC Announces Enforcement Results for Fiscal Year 2023
SEC Press Releases
75
46
3926
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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
31
82
4558
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03
Nov
SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
SEC Press Releases
61
54
2442
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03
Nov
SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud
SEC Press Releases
74
34
4447
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02
Nov
SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
SEC Press Releases
54
81
3792
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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
66
91
2003
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01
Nov
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
SEC Press Releases
81
98
3457
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31
Oct
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
SEC Press Releases
20
33
4422
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25
Oct
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
SEC Press Releases
31
97
2772
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18
Oct
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
SEC Press Releases
57
95
4558
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18
Oct
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
SEC Press Releases
48
22
1464
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17
Oct
SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community
SEC Press Releases
52
21
1838
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16
Oct
SEC Division of Examinations Announces 2024 Priorities
SEC Press Releases
41
92
1012
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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
90
86
3379
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13
Oct
SEC Adopts Rule to Increase Transparency in the Securities Lending Market
SEC Press Releases
90
53
3521
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11
Oct
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
SEC Press Releases
59
88
3095
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