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SEC Adopts Rule Amendments to Provide Investors Using Proxy Voting Advice More Transparent, Accurate and Complete Information
22 Jul 2020, 10:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges John McAfee With Fraudulently Touting ICOs
5 Oct 2020, 3:10 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
MetLife to Pay $10 Million for Longstanding Internal Control Failures
18 Dec 2019, 1:31 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Re-Opens Comment Period for Notice and Proposed Substituted Compliance Order for France
5 Apr 2021, 1:56 pm by 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/
SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors
4 Feb 2021, 7:41 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members
29 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 Wins Jury Trial Against Hedge Fund Adviser Who Ran Manipulative Short Scheme
5 Nov 2021, 9:55 am by Mark Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Index Manager and Friend With Insider Trading
21 Sep 2020, 1:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Herbalife to Pay $20 Million for Misleading Investors
27 Sep 2019, 8:20 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Cardinal Health With FCPA Violations
28 Feb 2020, 1:09 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Two Individuals for Wash Trading Scheme Involving Options of "Meme Stocks"
27 Sep 2021, 7:05 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 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 Announces Virtual Conference on Municipal Securities Disclosure
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/
SEC Charges Goldman Sachs With FCPA Violations
22 Oct 2020, 9:09 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
18 Dec 2019, 9:01 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC’s Message for 2019 World Investor Week: Start Early
1 Oct 2019, 6:39 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure
1 Oct 2019, 2:34 pm by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million
18 Dec 2020, 9:31 am by Astarita
Call Sallah Astarita & Cox at 212-509-6544. [read post]
Securities Law Blog - http://seclaw.blogspot.com/