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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
24
60
1616
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15
Nov
Charter Communications to Pay $25 Million Penalty for Unauthorized Stock Buybacks
SEC Press Releases
99
28
3434
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15
Nov
SEC Announces Enforcement Results for Fiscal Year 2023
SEC Press Releases
34
85
4483
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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
24
36
4190
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03
Nov
SEC Charges Royal Bank of Canada with Internal Accounting Controls Violations
SEC Press Releases
24
41
4969
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03
Nov
SEC Charges President/CCO of Prophecy Asset Management Advisory Firm with Multi-Year Fraud
SEC Press Releases
26
35
2104
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02
Nov
SEC Adopts Rules for the Registration and Regulation of Security-Based Swap Execution Facilities
SEC Press Releases
53
89
1613
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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
72
28
2451
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01
Nov
SEC Charges Four Long Island Men with Perpetrating $2 Million “Free-Riding” Scheme
SEC Press Releases
69
72
4170
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31
Oct
SEC Charges SolarWinds and Chief Information Security Officer with Fraud, Internal Control Failures
SEC Press Releases
93
65
4882
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25
Oct
SEC Charges BlackRock with Failing to Properly Disclose Investments by Publicly Traded Fund it Advised
SEC Press Releases
40
84
3551
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18
Oct
SEC Proposes Rule to Address Volume-Based Exchange Transaction Pricing for NMS Stocks
SEC Press Releases
82
26
2009
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18
Oct
Joint Readout of Principals’ Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
SEC Press Releases
47
22
1576
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17
Oct
SEC Obtains Emergency Relief To Halt Nearly $130 Million Fraud Targeting Indian American Community
SEC Press Releases
80
27
4231
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16
Oct
SEC Division of Examinations Announces 2024 Priorities
SEC Press Releases
42
32
1420
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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
77
77
4490
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13
Oct
SEC Adopts Rule to Increase Transparency in the Securities Lending Market
SEC Press Releases
29
28
4213
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11
Oct
SEC Adopts Amendments to Rules Governing Beneficial Ownership Reporting
SEC Press Releases
70
89
4248
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