Year: 2020

The Commission’s focus on small, retail investors seems to have turned into a near quest to uncover offering frauds of all types, sizes and configuration. To be sure these actions fleece thousands of investors on a continual basis. That is …

Another Offering Fraud Action by SEC Read More »

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The Commission’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert titled CyberSecurity: Ransomware Alert (July 10, 2020)(here). The OCIE Alert follows one issued on the same topic by Homeland Security (AA19-339A), dated June 30 2020 (here), which …

OCIE and Cybersecurity: A Key Issue for All Read More »

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