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

Posted in Litigation, Public Companies and Securities, Uncategorized

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

Posted in Broker-Dealer, Investment Advisers, M&A, Public Companies and Securities, Uncategorized

SEC Proposes Regulation Best Interest for Broker-Dealers

By Steve Quinlivan on 04/18/2018

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Continue Reading SEC Proposes Regulation Best Interest for Broker-Dealers

Posted in Broker-Dealer, Investment Advisers, Uncategorized

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

Posted in Broker-Dealer, Uncategorized

SEC Grants Broker-Dealers Relief under New Lease Accounting Standard

By Steve Quinlivan on 11/11/2016

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Continue Reading SEC Grants Broker-Dealers Relief under New Lease Accounting Standard

Posted in Broker-Dealer, Uncategorized

Crowdfunders and Crowdfunding Service Providers Beware

By Steve Quinlivan on 11/26/2015

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Continue Reading Crowdfunders and Crowdfunding Service Providers Beware

Posted in Broker-Dealer, Crowdfunding, Litigation, Public Companies and Securities, Uncategorized

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

Posted in Broker-Dealer, Uncategorized

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