Tag: unregistered securities

The SEC brought another custody rule action this week – against the outside auditors alleging that one examination was insufficient and the others incomplete thereby causing the client to violate the surprise audit requirement of the rule. failing the surprise …

This Week In Securities Litigation (The week ending June 26, 2015) Read More »

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The SEC continued Operation Shell-Expel this week, suspending trading in the shares of 128 OTC issuers bringing its total for the program to about 8% of the shares traded in that market. The Commission also announced another whistleblower award, this …

This Week In Securities Litigation (Week ending March 6, 2015) Read More »

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