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RSM US LLP Charged With Violating Auditor Independence Rules
27 Aug 2019, 9:02 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/
Kristina Littman Named Chief of the Cyber Unit
2 Dec 2019, 12:31 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks
4 Jun 2020, 1:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Final Distribution in WG Trading Investment Fraud, Totaling Over $1 Billion Returned to Harmed Investors
11 Sep 2020, 10:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Board Member James G. Kaiser to Retire From the PCAOB; Contributed Substantially to PCAOB Strategic Plan and the Use of Technology to Enhance Audit Quality
15 Oct 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC and CFTC to Hold a Joint Open Meeting on October 22
15 Oct 2020, 4:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Fee Rate Advisory #1 for Fiscal Year 2020
23 Aug 2019, 1:32 pm 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/
SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee
21 May 2020, 10:54 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions
17 May 2021, 9:56 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Agenda for Nov. 9 Meeting of the Small Business Capital Formation Advisory Committee
3 Nov 2020, 12:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards
5 Nov 2020, 8:12 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs
9 Dec 2019, 9:17 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Cboe Options Exchange Temporarily Shifts to Fully Electronic Trading – SEC Enables Immediate Effectiveness of Proposed Rule Change to Facilitate Continued Operations in Light of Temporary Suspension of Cboe Physical Trading Floor
14 Mar 2020, 5:38 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Agencies Adopt Final Rule on the Orderly Liquidation of Covered Broker-Dealers under Title II of the Dodd-Frank Act
24 Jul 2020, 12:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Modernizes Disclosures for Banking Registrants
11 Sep 2020, 12:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Promotes Teacher Investment Outreach
15 Oct 2019, 11:51 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Russian National for Defrauding Older Investors of Over $26 Million in Phony Certificates of Deposit Scam
13 Mar 2020, 1:27 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Top Executive of California Microcap Company for Misleading Claims Concerning COVID-19 Test and Financial Statements
25 Sep 2020, 9:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Andeavor for Inadequate Controls Around Authorization of Stock Buyback Plan
15 Oct 2020, 3:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges The Cheesecake Factory For Misleading COVID-19 Disclosures
4 Dec 2020, 5:46 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/