Author Archives: ls-team
FINRA Receives SEC Approval to Require Member Firms to Report Treasury Transactions to TRACE
FINRA Receives SEC Approval to Require Member Firms to Report Treasury Transactions to TRACE For [...]
Nov
Insider Trading During and After Board Meeting – SEC Charges Board Member
FOR IMMEDIATE RELEASE 2016-222 Washington D.C., Oct. 21, 2016 —The Securities and Exchange Commission today [...]
Oct
Aaron W. Lipson Named as Associate Regional Director for Enforcement in the SEC’s Atlanta Regional Office
FOR IMMEDIATE RELEASE 2016-207 Washington D.C., Sept. 30, 2016 — The Securities and Exchange Commission [...]
Oct
Marijuana-Related Company Charged with Scheming Investors
FOR IMMEDIATE RELEASE 2016-186 Washington D.C., Sept. 16, 2016 —The Securities and Exchange Commission today [...]
Sep
SEC Whistleblower Program Surpasses $100 Million in Awards
FOR IMMEDIATE RELEASE 2016-173 Washington D.C., Aug. 30, 2016 —The Securities and Exchange Commission’s awards [...]
Sep
SEC updates Form N-MFP Technical Specs! Oh My!
Notice to Form N-MFP Filers 07/11/2016 11:45 AM EDT Date of Notice: July 11, [...]
Jul
Regulation A+ and Section 12(a)(2) Liability
Does Regulation A+ provide an easier route to file suit against an issuer for material [...]
Nov
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