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SEC Press Releases
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SEC Press Releases
20
Sep
Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers
SEC Press Releases
94
55
1249
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20
Sep
Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering
SEC Press Releases
98
30
2475
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20
Sep
SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21
SEC Press Releases
47
68
2192
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20
Sep
Office of the Investor Advocate Releases Research Study on Fund Performance Benchmarks
SEC Press Releases
54
92
1216
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16
Sep
SEC Charges Gol Intelligent Airlines, Brazil’s Second Largest Airline, with FCPA Violations
SEC Press Releases
64
94
3116
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15
Sep
SEC Charges Loop Capital Markets in First Action against Broker-Dealer for Violating Municipal Advisor Registration Rule
SEC Press Releases
77
54
2432
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14
Sep
SEC Proposes Rules to Improve Risk Management in Clearance and Settlement and to Facilitate Additional Central Clearing for the U.S. Treasury Market
SEC Press Releases
41
40
3263
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13
Sep
SEC Charges Four Underwriters in First Actions Enforcing Municipal Bond Disclosure Law
SEC Press Releases
24
92
4390
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13
Sep
SEC Charges VMware with Misleading Investors by Obscuring Financial Performance
SEC Press Releases
65
46
2628
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12
Sep
SEC Charges Hudson Advisors and Lone Star Global for Failing to Disclose that Fund Fees Included More Than $50 Million of Owner’s Income Tax Liability
SEC Press Releases
35
85
3213
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10
Sep
SEC Division of Corporation Finance to Add Industry Offices Focused on Crypto Assets and Industrial Applications and Services
SEC Press Releases
35
46
2368
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09
Sep
SEC Adopts JOBS Act Inflation Adjustments
SEC Press Releases
76
88
2920
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09
Sep
SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both
SEC Press Releases
61
84
4397
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07
Sep
SEC Charges Perceptive Advisors for Failing to Disclose SPAC-Related Conflicts of Interest
SEC Press Releases
55
29
1650
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03
Sep
SEC Charges Venture Capital Adviser Energy Innovation Capital Management for Overcharging Fees
SEC Press Releases
38
42
4563
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31
Aug
SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to Defraud Clients out of More Than $75 Million
SEC Press Releases
71
37
4981
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27
Aug
SEC Issues First Fee Rate Advisory for Fiscal Year 2023
SEC Press Releases
71
51
4824
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27
Aug
SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips
SEC Press Releases
83
50
3916
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