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UBS Settles Charges Related to Investments in Complex Exchange-Traded Product
19 Jul 2021, 5:55 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/
Chair Gensler Announces Composition of Policy Team
16 Jul 2021, 8:05 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/
SEC Charges Executives of Network Infrastructure Company With Accounting Fraud
15 Jul 2021, 7:30 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/
ICO “Listing” Website Charged With Unlawfully Touting Digital Asset Securities
14 Jul 2021, 9:30 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 SPAC, Sponsor, Merger Target, and CEOs for Misleading Disclosures Ahead of Proposed Business Combination
13 Jul 2021, 1:05 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 Charges TheBull with Selling "Insider Trading Tips" on the Dark Web
9 Jul 2021, 12:20 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 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/
SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures
7 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/
SEC Issues Agenda for July 7 Meeting of Asset Management Advisory Committee
2 Jul 2021, 9:00 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 Hedge Fund Trader in Lucrative Front-Running Scheme
2 Jul 2021, 7:55 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 San Francisco Bay Area Finance Employee and Friend With Insider Trading
30 Jun 2021, 3:20 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 Engages with Students for Their Perspectives on Emerging Issues
30 Jun 2021, 11:05 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 Self-Proclaimed Real Estate “Dealmaker” With Multiple Offering Frauds and Misappropriation of Investor Funds
29 Jun 2021, 1:20 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 Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement
29 Jun 2021, 11:40 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 Electronic Trading Platform for Operating As An Unregistered Broker-Dealer
29 Jun 2021, 6:20 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/
UBS To Let Two-Thirds Of Employees Adopt Permanent Hybrid Work
29 Jun 2021, 3:57 am by Astarita
UBS To Let Two-Thirds Of Employees Adopt Permanent Hybrid Work: The move by UBS is in stark contrast with many of its U.S. rivals that are calling most workers back to the office.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/
Ex-Wells Fargo Duo With $580M AUM Goes Independent With LPL
29 Jun 2021, 3:57 am by Astarita
Ex-Wells Fargo Duo With $580M AUM Goes Independent With LPL: Arise Private Wealth operates in Rolling Hills Estates, Calif.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/