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Briefing on Regulation A+ Challenge to Extend Though November

By Steve Quinlivan on 07/18/2015

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One Tardy Whistleblower Wins SEC Award, One Loses

By Steve Quinlivan on 07/17/2015

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SEC Grants Relief From Risk Retention In Refinancing Transaction

By Steve Quinlivan on 07/17/2015

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Vanishing Regulation A+ Filings

By Steve Quinlivan on 06/29/2015

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SEC Charges KKR With Misallocating Broken Deal Expenses

By Steve Quinlivan on 06/29/2015

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SEC Proposes Significant Reporting Requirement Amendments to Form ADV

By Eric Mikkelson on 06/25/2015

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SEC Meeting to Consider Compensation Clawback Proposal

By Steve Quinlivan on 06/25/2015

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SEC Provides Guidance on Definition of “Spouse” and “Marriage”

By Steve Quinlivan on 06/20/2015

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SEC Says Fantasy Stock Trading Violates Securities Laws; Charges Others for Selling Illegal Security-Based Swaps

By Steve Quinlivan on 06/17/2015

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Continue Reading SEC Says Fantasy Stock Trading Violates Securities Laws; Charges Others for Selling Illegal Security-Based Swaps

SEC Denies Montana’s Request to Stay Regulation A+

By Steve Quinlivan on 06/16/2015

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Continue Reading SEC Denies Montana’s Request to Stay Regulation A+