SEC Announces Enforcement Results For Fiscal Year-End 2016
On October 11, 2016, the SEC announced its enforcement results for fiscal year-end September 30, 2016 (FYE 2016). In FYE 2016 the S...
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Securities Attorneys
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SEC Approves Revision to FINRA Rule Regarding Broker Dealer FINRA Filing Requirements for Private Placement Offerings
On June 7, 2012 the SEC granted accelerated approval to a FINRA rule change regarding broker dealer FINRA filing requirements for ac...
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SEC Grapples With Crowdfunding Rulemaking
On April 5, 2012 President Obama signed the JOBS Act into law. The SEC’s Rulemaking Duty Some of the rules went into effect immed...
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