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Company: Securities and Exchange Commission

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Supervisory lapses allowed shady trading to go unchecked

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The proposals seek a more investor-friendly approach to fund disclosure

16253748 - hand of a businesswoman at her desk with a pen and a clipboard

SEC adopts reforms that will give issuers a bigger voice


Firm co-founder accused of defrauding investors by mismarking, making up investments

Businessman Blowing Whistle Isolated on White Background

Tip led to millions of dollars being returned to investors

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Firm allegedly sold stock based on false hype about its wind turbine technology

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SEC and CTFC settle charges against app developer

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Proposal would boost reporting threshold from US$100 million to US$3.5 billion

  • July 10, 2020 July 10, 2020
  • 17:11
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A court ruling against the SEC has implications for Canada

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Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct