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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
37
93
2380
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15
Nov
Charter Communications to Pay $25 Million Penalty for Unauthorized Stock Buybacks
SEC Press Releases
24
96
3951
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15
Nov
SEC Announces Enforcement Results for Fiscal Year 2023
SEC Press Releases
84
49
3010
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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
86
71
2326
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03
Nov
SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
SEC Press Releases
43
46
4807
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03
Nov
SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud
SEC Press Releases
65
99
4218
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02
Nov
SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
SEC Press Releases
96
23
2965
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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
39
21
2179
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01
Nov
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
SEC Press Releases
48
99
3092
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31
Oct
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
SEC Press Releases
58
89
1755
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25
Oct
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
SEC Press Releases
46
43
4038
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18
Oct
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
SEC Press Releases
69
98
1297
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18
Oct
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
SEC Press Releases
56
34
2803
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17
Oct
SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community
SEC Press Releases
79
51
1570
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16
Oct
SEC Division of Examinations Announces 2024 Priorities
SEC Press Releases
42
47
1828
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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
88
90
3571
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13
Oct
SEC Adopts Rule to Increase Transparency in the Securities Lending Market
SEC Press Releases
98
87
4802
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11
Oct
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
SEC Press Releases
32
91
4138
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