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Posts published in “Securities and Exchange Commission”

Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public Company Investment Research

January 31, 2023

SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnel

January 30, 2023

Silvestre Fontes Named Director of Boston Regional Office

January 25, 2023

SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations

January 25, 2023

SEC Issues $28 Million Award to Joint Whistleblowers

January 24, 2023

Fee Rate Advisory #2 For Fiscal Year 2023

January 23, 2023

Bloomberg to Pay $5 Million for Misleading Disclosures about Its Valuation Methodologies for Fixed Income Securities

January 23, 2023

SEC Charges Avraham Eisenberg with Manipulating Mango Markets’ “Governance Token” to Steal $116 Million of Crypto Assets

January 20, 2023

SEC Seeks Candidates for Small Business Capital Formation Advisory Committee

January 20, 2023

Nexo Agrees to Pay $45 Million in Penalties and Cease Unregistered Offering of Crypto Asset Lending Product

January 19, 2023

SEC Awards Approximately $18 Million to Three Whistleblowers

January 19, 2023

SEC Announces Departure of Renee Jones; Erik Gerding Named Director of Division of Corporation Finance

January 13, 2023

SEC Awards More Than $5 Million to Whistleblower

January 13, 2023

SEC Charges Genesis and Gemini for the Unregistered Offer and Sale of Crypto Asset Securities through the Gemini Earn Lending Program

January 12, 2023

Paul Munter Named Chief Accountant

January 11, 2023

SEC Announces Appointment of Cristina Martin Firvida as Investor Advocate

January 10, 2023

SEC Charges McDonald’s Former CEO for Misrepresentations About His Termination

January 9, 2023

SEC Charges Former BlackRock Portfolio Manager with Undisclosed Conflict of Interest

January 5, 2023

SEC Charges Creator of CoinDeal Crypto Scheme and Seven Others in Connection with $45 Million Fraud

January 4, 2023

SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme

January 3, 2023