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Company: Securities and Exchange Commission

1174 results found
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Egan-Jones, founder, fined in settlements with regulators

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

Jaime Lizárraga and Mark Toshiro Uyeda to replace Lee and Roisman as Securities and Exchange commissioners

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Firm, reps charged for selling risky illiquid bonds to retail investors, retirees

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Regulator says engineer traded with advance knowledge of deal for Canadian firm

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Regulator alleges an array of false, misleading disclosures

stock market down

Possible SEC reforms to order handling rules would reshape trading landscape: Moody's

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Firm touted lack of fees while making money on investors' cash holdings

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Regulator to consider sweeping market structure reforms

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Proposals to enhance disclosure to fund investors out for 60-day comment period

GameStop

Firm deceived investors about trading halt, SEC alleges