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Securities Litigation and Regulatory Enforcement
Don't Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud
(05.14.20)
What a Business Should Know Before Triggering a MAC Clause Based on COVID-19
(04.15.20)
Fraud in the Time of Covid-19
(04.06.20)
The SEC Opts Not to Extend Reg BI and Form CRS Compliance Deadline
(04.03.20)
RIAs & Advisors Consider CARES Act PPP Loan Participation: Getting the Application Right Takes Diligence
(04.03.20)
Keeping it All in the Family
(03.20.20)
The SEC Grants Temporary Relief Due to the Coronavirus COVID-19 Pandemic
(03.16.20)
SEC Proposes to Update "Accredited Investor" Definition
(03.11.20)
Steven Seagal is not "Above the Law" in Crypto Scalping Case
(02.27.20)
Risky Business: How Departing Brokers Can Unintentionally Trip Reg. BI
(02.21.20)
It's the Final Countdown: Being Prepared for Regulation Best Interest
(01.09.20)
Fifth Circuit Overturns Receiver's Settlement Barring Third-Party Claims Against Stanford Financial Insurers
(06.25.19)
An RIA'S Communications with Attorney Consultants Associated with its Outside Compliance Firm are Always Privileged, RIGHT? Well, That Depends . . .
(06.21.19)
Audit Firm to Pay $50 Million Penalty for Using Information Pilfered From PCAOB
(06.18.19)
Freight Company Charged with Truckload of Accounting Fraud
(04.26.19)
Janus Meets Its Maker: The Supreme Court Expands Primary Liability in Lorenzo v. SEC
(04.08.19)
You WILL (not May) Face the Heat
(03.18.19)
What You Should Know About FINRA's Exam Priorities for 2019
(02.26.19)
Update: The EB-5 Program Has Been Renewed . . . For Now
(02.22.19)
Attorney Responsible for Insider-Trading Compliance Faces Charges of…Insider Trading
(02.18.19)
529 Problems, but FINRA Ain't One
(02.18.19)
Cybersecurity: Don't Become a Different Kind of Victim
(01.16.19)
Will the EB-5 Program Be Renewed, Altered or Abolished?
(12.05.18)
Federal Court Evaluates When Cryptocurrency May Constitute a Security in a Criminal Case
(11.08.18)
SEC Enforces Identity Theft Red Flags Rule for the First Time: What it Means for Texas Businesses
(10.23.18)
Investment Advisers and Fee Disclosures
(10.08.18)
Massachusetts Heats up Fiduciary Rule Discussion with Cold-blooded Enforcement
(10.08.18)