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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/
SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
25 Nov 2020, 6:31 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Antonia Chion, Associate Director of SEC's Enforcement Division, to Retire After 32 Years of Service
28 Feb 2020, 8:39 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $1.8 Million to Whistleblower
29 Aug 2019, 10:06 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
John Coates Named Acting Director of the Division of Corporation Finance
1 Feb 2021, 10:16 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards Over $500,000 to Two Whistleblowers
1 Mar 2021, 10:01 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Trucking Executives With Accounting Fraud
5 Dec 2019, 1:40 pm by 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 Updates Electronic Filing Requirements
4 Nov 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 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/
Acting Chair Allison Herren Lee Announces Executive Staff
1 Feb 2021, 10:56 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Former Georgia State Legislator With Defrauding Investors in Ponzi Scheme
30 Jul 2020, 2:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric
13 Nov 2020, 6:11 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Agencies Finalize Changes to Simplify Volcker Rule
8 Oct 2019, 1:35 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
6 Nov 2019, 5:22 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS
7 Apr 2020, 9:24 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020
2 Nov 2020, 10:09 am by 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 Proposes Updates to Electronic Recordkeeping Requirements
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/
SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements
5 Aug 2020, 12:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/