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SEC’s Use of Form PF in Examinations

By Steve Quinlivan on 09/02/2016

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CFTC Proposes to Amend Whistleblower Rules to Provide Anti-Retaliation Enforcement Authority

By Steve Quinlivan on 09/01/2016

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Preliminary Planning for the 2017 Proxy Season

By Steve Quinlivan on 08/31/2016

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SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings

By Steve Quinlivan on 08/31/2016

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Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

By Steve Quinlivan on 08/30/2016

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SEC Awards Culpable Whistleblower $22 Million

By Steve Quinlivan on 08/30/2016

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SEC Requests Comment on Corporate Governance, Management and Security Holder Matters

By Steve Quinlivan on 08/27/2016

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GAO Says Companies Face Continuing Challenges in Determining Whether Their Conflict Minerals Benefit Armed Groups

By Steve Quinlivan on 08/27/2016

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SEC Updates Form ADV

By Steve Quinlivan on 08/25/2016

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SEC Busts Apollo for Disclosure and Supervisory Failures

By Steve Quinlivan on 08/23/2016

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