Month: February 2023

In broadening its reach in the markets, the Commission has in some instances relied on data analytics as it did, for example, when initiating two insider trading cases last year. How far the agency has been able to expand its …

Advisor Resolves Reg M Violation Read More »

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The Commission brought actions centered on touting, manipulation, an offering fraud and a financial fraud in then period leading up to the President’s Day Weekend. Be careful, be safe this week SEC Enforcement – Filed and settled actions During the …

This Week In Securities Litigation (Week of February 20, 2023) Read More »

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