Tag: manipulation

Welcome back to everyone from a very nice holiday weekend. Now everyone can move forward to the beginning of summer. Prior to the holiday weekend the Commission continued to file a series of new actions. Those included one based on …

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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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