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SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

By David Jenson on 03/31/2015

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Is Crowdfunding Under the JOBS Act Dead?

By David Jenson on 03/13/2015

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What is a Security? Even the SEC Can’t Always Tell

By David Jenson on 03/05/2015

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Asset Manager Hedging Results Fined for Failing to Register as a Commodity Trading Advisor

By Steve Quinlivan on 02/12/2015

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Bad Actor Waivers and Conditions – The Controversy Continues

By Steve Quinlivan on 02/04/2015

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PCAOB Alerts on Deficiencies in Broker-Deal Audits

By Steve Quinlivan on 01/28/2015

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SEC Grants Second Bad Actor Waiver With Conditions

By Steve Quinlivan on 01/27/2015

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Model Rule Exempting M&A Brokers Proposed by NASAA

By David Jenson on 01/18/2015

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Private Placement Due Diligence and Contingency Offerings Among FINRA’s 2015 Priorities

By David Jenson on 01/11/2015

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2014 CFTC Enforcement Report – Another Year of Record Sanctions

By Steve Quinlivan on 12/30/2014

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Continue Reading 2014 CFTC Enforcement Report – Another Year of Record Sanctions