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SEC Brings Actions Against Fifteen Unregistered Brokers for Their Participation in an Illegal Offering of Microcap Securities

By Steve Quinlivan on 04/10/2019

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House Passes JOBS and Investor Confidence Act of 2018

By Steve Quinlivan on 07/17/2018

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Continue Reading House Passes JOBS and Investor Confidence Act of 2018

SEC Proposes Regulation Best Interest for Broker-Dealers

By Steve Quinlivan on 04/18/2018

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SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR

By Steve Quinlivan on 01/30/2017

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Continue Reading SEC Simplifies Filing of Broker-Dealer Annual Reports on EDGAR

SEC Grants Broker-Dealers Relief under New Lease Accounting Standard

By Steve Quinlivan on 11/11/2016

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Crowdfunders and Crowdfunding Service Providers Beware

By Steve Quinlivan on 11/26/2015

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PCAOB Alerts on Deficiencies in Broker-Deal Audits

By Steve Quinlivan on 01/28/2015

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Continue Reading PCAOB Alerts on Deficiencies in Broker-Deal Audits