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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 Issues Agendas for October 28 and November 3 Meetings of the Asset Management Advisory Committee
26 Oct 2021, 1:30 pm 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/
Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings
19 Oct 2021, 11:35 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 Awards $40 Million to Two Whistleblowers
15 Oct 2021, 8:30 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
14 Oct 2021, 10:05 am 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 Charges Hemp Company and Co-Founders With Fraud
5 Oct 2021, 12:15 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Highlights Investor Protection for World Investor Week 2021
4 Oct 2021, 2:10 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Webcast Host for Role in Market Manipulation Scheme
1 Oct 2021, 1:55 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Rogue Trader Who Bankrupted His Firm
30 Sep 2021, 11:35 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Former Executives of Registered Investment Adviser with Fraud
30 Sep 2021, 7:35 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze
29 Sep 2021, 2:40 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes to Enhance Proxy Voting Disclosure by Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
29 Sep 2021, 8:50 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors"
28 Sep 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 Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud
28 Sep 2021, 10:20 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Bars Two Individuals from Whistleblower Award Program
28 Sep 2021, 9:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC
28 Sep 2021, 8:05 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Erik Gerding joins Division of Corporation Finance as Deputy Director, Legal and Regulatory Policy
27 Sep 2021, 1:35 pm by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/