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SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
29 Oct 2021, 9:26 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021
18 Oct 2021, 1:35 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice
17 Nov 2021, 9:25 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Enforcement Results for FY 2021
18 Nov 2021, 1:05 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections
17 Nov 2021, 9:00 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Post-SPAC Music Steaming Company Reaches $38.8 Million Settlement in Ongoing Fraud Action
27 Oct 2021, 1:20 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Approves PCAOB Rule to Establish A Framework for Determinations Under the Holding Foreign Companies Accountable Act
5 Nov 2021, 11:55 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Fixed Income Clearing Corp. With Having Inadequate Risk Management Policies
29 Oct 2021, 5:30 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Exchange-Traded Product and Its General Partner With Disclosure Failures
8 Nov 2021, 1:38 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Financial Adviser With Stealing Investor Funds to Pay Off Credit Cards, Buy Gold Coins
28 Oct 2021, 9:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Obtains Asset Freeze and Other Relief in Halting Penny Stock Scheme on Twitter
26 Oct 2021, 1:00 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
McKinsey Affiliate to Pay $18 Million for Compliance Failures in Handling of Nonpublic Information
19 Nov 2021, 7:45 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Newport Beach Company and its Principals with Operating a $13.5 Million Ponzi-Like Scheme
29 Oct 2021, 12:10 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Daniel R. Gregus Named Director of Chicago Office
15 Nov 2021, 11:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Partner at Global Consulting Firm With Insider Trading
10 Nov 2021, 6:06 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Appoints Haoxiang Zhu Director of Division of Trading and Markets
19 Nov 2021, 10:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Ahmed Abonamah Named Director of Office of Credit Ratings
8 Nov 2021, 12:11 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Modernizes Filing Fee Disclosure and Payment Methods
13 Oct 2021, 11:30 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes Rule to Provide Transparency in the Securities Lending Market
18 Nov 2021, 1:35 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Entrepreneurship in Rural and Under-Resourced Areas on Agenda for Small Business Capital Formation Advisory Committee Meeting
10 Nov 2021, 12:10 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/