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SEC Releases

SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice

The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities. The guidance discusses, among other matters, the ability of investment advisers to establish a variety of…

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SEC Charges ICO Research and Rating Provider With Failing to Disclose It Was Paid to Tout Digital Assets

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SEC Charges TherapeuticsMD With Regulation FD Violations

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SEC Charges TherapeuticsMD With Regulation FD Violations

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Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs

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SEC Charges Former CFO of Cash Advance Company With Defrauding Thousands of Retail Investors

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SEC Releases Videos for Investors on Choosing and Working with a Financial Professional

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SEC Wins Jury Trial Against Broker Charged with Insider Trading

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SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors

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SEC Obtains Freeze of $8 Million in Assets in Alleged Fraudulent Token Offering and Manipulation Scheme

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SEC Charges Investment Banking Analyst with Insider Trading

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SEC Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K

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