Tag: manipulation

The Commission filed four new cases last week. One centered on a failure to keep records while a second was based on a fraudulent scheme. The final two cases involved front running. Be careful, be safe this week. SEC Rule: …

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Last week the Commission filed two new enforcement actions. Each case centered on insider trading claims. Be careful, be safe this week. Rules: The Commission adopted certain reforms tied to investment advisers who operate exclusively through the internet on March …

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