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SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)

By Steve Quinlivan on 12/16/2014

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Court of Chancery Speaks to Exclusivity Agreements in Public Company Acquisitions

By Jill Radloff on 12/15/2014

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SEC and PCAOB Collar 15 For Independence Violations in Audits of Broker-Dealers

By Steve Quinlivan on 12/08/2014

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Loan Syndicators Sue to Invalidate Risk Retention Rules

By Steve Quinlivan on 11/26/2014

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CFPB Takes Action Against ‘Buy-Here, Pay-Here’ Auto Dealer

By Steve Quinlivan on 11/20/2014

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SEC Describes Profiles of Successful Whistleblowers

By Jill Radloff on 11/18/2014

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CFPB Finds Violation of Loan Originator Compensation Rule

By Steve Quinlivan on 11/15/2014

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Revealing Whistleblower’s Identity is Retaliation

By Steve Quinlivan on 11/14/2014

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SEC Finds Crowdfunding Website a General Solicitation and Violated Broker-Dealer Rules

By Steve Quinlivan on 11/10/2014

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SEC Snares 10 for 8-K Violations

By Steve Quinlivan on 11/06/2014

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