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Peter Uhlmann, Managing Executive in the Office of the Chairman, to Assume New Role at the Agency
11 May 2020, 3:26 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Division of Examinations Announces 2021 Examination Priorities
3 Mar 2021, 7:11 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges California-Based Fraudster With Selling “Insider Tips” on the Dark Web
18 Mar 2021, 2:02 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints
4 Nov 2019, 9:41 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Publishes Annual Reports on Credit Rating Agencies
24 Jan 2020, 12:20 pm by 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 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 Adopts Modernized Regulatory Framework for Derivatives Use by Registered Funds and Business Development Companies
28 Oct 2020, 9:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Katherine K. Martin, Associate Director in the Office of International Affairs, to leave SEC
5 Feb 2021, 6:46 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Unregistered Investment Adviser with Defrauding Investors in Decade-Long Scheme
9 Mar 2021, 2:26 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges International Security-Based Swaps Dealer That Targeted U.S. Investors
31 Oct 2019, 10:41 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office
24 Apr 2020, 9:23 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
8 Apr 2020, 1:54 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
New York Regional Office to Host Educational Call for Investors on Avoiding COVID-Related Fraud
11 Jun 2020, 8:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Speakers for June 18 Small Business Forum: “Access to Capital: More Critical Now than Ever”
16 Jun 2020, 11:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SECLaw Tops The List of Securities Law Blogs
26 Aug 2020, 1:10 pm by Astarita
It's not easy keeping pace with the ever changing laws of the financial markets, but we have been managing to do so for over 25 years.https://blog.feedspot.com/securities_law_blogs/Visit us at SECLaw.com, the Securities Law Blog, New York Securities Lawyer and Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges
16 Dec 2020, 1:41 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Young and Planning to Retire
5 Jan 2015, 6:11 am by Mark Astarita
Here are some key moves to start building your nest egg now.For more information - Young and Planning to Retire---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients
12 May 2020, 5:56 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens
22 May 2020, 6:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/