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SEC Announces Annual Regulatory Agenda
11 Jun 2021, 1:50 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $1 Million to Whistleblower
24 Jun 2021, 8:35 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology
27 Aug 2021, 9:35 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Surpasses $1 Billion in Awards to Whistleblowers with Two Awards Totaling $114 Million
15 Sep 2021, 11:05 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer
26 Aug 2021, 8:05 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data
7 Jun 2021, 12:31 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies
19 Jul 2021, 10:20 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Enhances Access to Financial Disclosure Data
19 Aug 2021, 11:30 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Joint Readout of Principals Meeting of U.S. and UK Authorities Regarding Central Counterparty Resolution
25 Jun 2021, 10:20 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
9 Jun 2021, 12:01 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer
19 Jul 2021, 7:15 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Real Estate CEO With Defrauding Investors
30 Jul 2021, 8:31 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges International Microcap Fraud Scheme Participants
9 Aug 2021, 11:35 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Three Individuals with Insider Trading
9 Jul 2021, 10:20 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Daniel S. Kahl Appointed Acting Director of the Division of Examinations; Peter B. Driscoll to Depart Agency
14 Jul 2021, 1:45 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces $97 Million Enforcement Action Against TIAA Subsidiary for Violations in Retirement Rollover Recommendations
13 Jul 2021, 7:35 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Awards More Than $1 Million to Whistleblower
15 Jul 2021, 8:50 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
New SEC Public Service Campaign: Investing Regularly Really Adds Up
23 Jun 2021, 12:50 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Biopharmaceutical Company Employee with Insider Trading
17 Aug 2021, 7:20 am by Mark Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Charges Issuer With Cybersecurity Disclosure Controls Failures
15 Jun 2021, 5:50 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
Securities Law Blog - http://seclaw.blogspot.com/