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The SEC recently adopted significant changes to the broker-dealer reporting rules. The…
Read MoreProposed Disclosure Rules Will Not Delay Lifting of General Solicitation Ban
SEC Chair Mary Jo White recently confirmed that the SEC will not…
Read MoreAre DOL and SEC Fiduciary Rules Headed for a Collision?
Two federal government agencies are currently working to create new fiduciary rules…
Read MoreWill We See Crowdfunding Rules This Fall?
Mary Jo White said it. It’s on C-SPAN. Crowdfunding rules could finally…
Read MoreSEC Shows Its Teeth With Falcone Settlement
Hedge fund adviser Philip A. Falcone and his advisory firm, Harbinger Capital…
Read MoreDo You Have a Business Continuity Plan?
We are entering the height of hurricane season on the East Coast,…
Read MoreSEC Finally Lifts General Solicitation Ban
The SEC has finally approved a new rule to lift the ban…
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