Tag: blue sheets

The Commission was a leading news story this week in many publications, but not for any action taken or case filed or resolved. The focus was, and continues to be, the Chairman and speculation that he wants to resign and …

This Week In Securities Litigation (Week of June 29, 2020) Read More »

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Controls and records are often critical to the functioning of a company. Broker-dealers, as regulated entities, are required to maintain certain systems and records to aid in fulfilling their obligations. One requirement is to effectively respond to a Commission request …

Broker Admits Violations of Securities Laws to Settle with SEC Read More »

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