The Commission periodically has filed enforcement actions against broker-dealers for failing to file SARs – suspicious activity reports — typically centered on a failure to file reports regarding microcap issuers. Those actions are based on Exchange Act Section 17(a) and …
Month: December 2020
This Week In Securities Litigation (Week of December 14, 2020)
The exit continues at the Commission. This week Director of Enforcement Stephanie Avakian announced her departure from the agency at the end of the year. She has been preceded by the Director of Corporation Finance and the General Counsel. The …
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