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Showing results for Office: All / Practice: Securities Litigation
May 2024 - Publication
SEC Amends Regulation S-P to Enhance Protection of Financial Institutions’ Customers
Practice: Business Transactions, Cyber, Privacy & Data Security,
May 2024 - Publication
SEC Risk Alert on Advisers Act Marketing Rule Compliance
Practice: Advertising & E-Commerce, Business Transactions,
Mar 2023 - Publication
Codified “M&A Broker” Exemption Effective on March 29, 2023
Practice: Business Transactions,
Sep 2020 - Publication
Securities and Exchange Commission Amends the “Accredited Investor” Definition
Jul 2018 - Publication
SEC v. Lucia: The Financial Industry’s Consolation Win
Dec 2016 - Publication
Supreme Court Holds Illegal Tipping Does Not Require Financial Gain
Sep 2016 - Publication
New FINRA Rules Create "Capital Acquisition Brokers"
Practice: Business Transactions, Commercial Litigation,