Tag: SEC

Last week the Commission filed two new enforcement actions. Each case centered on insider trading claims. Be careful, be safe this week. Rules: The Commission adopted certain reforms tied to investment advisers who operate exclusively through the internet on March …

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Last week the Commission filed three new cases. One centered on unprofessional conduct. A second involved false statements. The third centeredon misrepresentations. Be careful, be safe this week. SEC Enforcement – Filed and Settled Actions Statistics: This week the Commission …

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