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SEC Discusses Criteria for Charging Chief Compliance Officers

By Steve Quinlivan on 11/04/2015

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SEC Proposes to Increase Rule 504 Offering Limits to Create Another Crowdfunding Exemption

By Steve Quinlivan on 11/01/2015

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Continue Reading SEC Proposes to Increase Rule 504 Offering Limits to Create Another Crowdfunding Exemption

SEC Proposes to Ease Intrastate Offering Exemption to Facilitate Crowdfunding

By Steve Quinlivan on 10/31/2015

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Get Ready for Crowdfunding

By David Jenson on 10/30/2015

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ISS Launches 2016 Benchmark Policy Consultation

By Steve Quinlivan on 10/26/2015

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Crowdfunding: FINRA Proposes JOBS Act Portal Rules

By Steve Quinlivan on 10/23/2015

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Banking Regulators Adopt End-User Exemption for Swap Margin Requirements

By Steve Quinlivan on 10/23/2015

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SEC Provides Guidance on Conflicting Shareholder Proposals and Trinity vs Wal-Mart

By Steve Quinlivan on 10/23/2015

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SEC Chair White Complains of Poor Hedge Fund and Private Equity Practices

By Steve Quinlivan on 10/21/2015

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SEC Investor Advocate Wants to Nix NYSE Proposal

By Steve Quinlivan on 10/18/2015

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Continue Reading SEC Investor Advocate Wants to Nix NYSE Proposal