Home Posts Tagged "sec" (Page 4)
SEC Issues White Paper On Penny Stock Risks
On December 16, 2016, the SEC announced several new settled enforcement proceedings against market participants including issuers, a...
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Big Changes Are Coming
I’ve been practicing securities law for 19 years this year (phew!) and for the first time in my career I am excited about changes, b...
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SEC Chair Jay Clayton Discusses Direction Of SEC
In a much talked about speech to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton set forth his thoughts on...
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The SEC’s 2017 Enforcement Priorities And Results
No more broken windows! In a series of speeches by various top brass at the SEC followed by the publication of the SEC Enforcement...
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