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Final SEC Rule Disqualifying Bad Actors From Rule 506 Offerings

By Steve Quinlivan on 07/12/2013

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Changes to FINRA Rule 5123

By David Jenson on 07/03/2013

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Governor Dayton Signs Investment Adviser Bill

By David Jenson on 05/28/2013

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Court Finds Internal Reporting by Whistleblower Entitled to Dodd-Frank Protections

By Steve Quinlivan on 05/23/2013

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CFTC Reiterates that “Wash Trades” Are “Grave Violations” in Penalizing Two Experienced Traders for Wash Trading

By Steve Quinlivan on 05/03/2013

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Continue Reading CFTC Reiterates that “Wash Trades” Are “Grave Violations” in Penalizing Two Experienced Traders for Wash Trading

Broker-Dealer Due Diligence and FINRA Exam Priorities

By David Jenson on 04/15/2013

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Final Red Flags Rules Adopted by SEC and CFTC

By David Jenson on 04/10/2013

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The JOBS Act Turns One

By David Jenson on 04/08/2013

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SEC Comments on Broker-Dealer Registration by Private Fund Advisers

By David Jenson on 04/05/2013

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Accredited Crowdfunding, Internet Advertising and General Solicitation

By Jill Radloff on 04/04/2013

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