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Browsing Hashtag: #SEC

People

SEC Appoints New Associate Regional Director for Examinations in New York Region

September 20, 2017

Compliance Concepts

OCIE Issues Risk Alert on RIA Advertising

September 20, 2017

People

SEC Counsel is Retiring After 44 Years of Service

September 19, 2017

Regulatory Sanctions

SunTrust Placed Wrap Account Clients in Higher-Fee Mutual Funds

September 19, 2017

Regulatory Sanctions

Market Analyst / Adviser Settles SEC Scalping Charges

September 18, 2017

People

Head of Investment Adviser/Investment Company Exams to Leave SEC

September 18, 2017

Regulators

Regulators Headlines, September 14

September 14, 2017

Regulatory Sanctions

Regulatory Sanctions Headlines, September 14

September 14, 2017

Compliance Concepts

SEC, FINRA, MSRB to Hold Muni Compliance Outreach Program

September 11, 2017

People

Bridget Fitzpatrick Named SEC Chief Litigation Counsel

September 8, 2017

Regulatory Sanctions

FinOp/Acting CFO Settles with SEC Over Role in Merrill’s Customer Protection Rule Violations

September 6, 2017

Regulators

Chairman Clayton Names His Executive Staff

September 5, 2017

Regulatory Sanctions

Former RRs Settle SEC Manipulation Charges in Attempted Nasdaq Listing

September 5, 2017

People

Dalia Blass Rejoins SEC as Director of Investment Management Division

September 5, 2017

People

Columbia Law Professor to be Nominated as SEC Commissioner

September 5, 2017

Regulatory Sanctions

Investment Adviser Defrauded Pro Athlete and his Wife - SEC

August 23, 2017

Regulatory Sanctions

Hedge Fund Advisor Failed to Prevent Trading on Insider Information - SEC

August 22, 2017

Regulatory Sanctions

BofA IT Guy 'Fathers' an Insider Trading Ring

August 17, 2017

Rules & Regulations

Will SEC Chair Clayton Ease Up on CEO Certifications?

August 14, 2017

Technology/Internet

SEC Observations from Cybersecurity Exams of Brokers, Advisors, Funds

August 11, 2017

Regulators

Sale of CHX to Chinese Investors Delayed Further

August 10, 2017

Regulators

Regulators Headlines, August 9

August 9, 2017

People

‘Grim’ Day for the SEC Investment Management Division

August 3, 2017

Regulatory Sanctions

Auditor Pays $1Mn Fine After Merrill Violated SEC Customer Protection Rule

August 3, 2017

Hirings/Transitions

SEC Promotes Donna Esau to Associate Regional Director for Examinations

August 3, 2017

Regulators

What's Different About the Latest SEC Whistleblower Award?

August 1, 2017

Regulatory Sanctions

Former LPL Brokers Fraudulently Targeted Federal Retirees - SEC

July 31, 2017

Regulators

SEC Computer Networks Cited for Deficiencies - Report

July 31, 2017

Regulatory Sanctions

Regulatory Sanctions Headlines, July 27

July 27, 2017

Rules & Regulations

Rules & Regulations Headlines, July 27

July 27, 2017

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