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Regulatory Compliance

The SEC’s Latest C&DIs Related to Bad Actor Disqualification

by on December 10, 2013
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SEC Issues New C&DIs Related to Rules 506(c) and 144A

by on November 14, 2013
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The Commission Will Finally Consider Adopting the Rules to Eliminate the Ban on General Solicitation and Advertising and the Bad Actor Rules

by on July 4, 2013
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Additional Lessons in Social Media and the Securities Laws Courtesy of Zipcar

by on January 7, 2013
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One to Watch: Netflix Discloses that its CEO’s Facebook Posting May Trigger a Reg. FD Violation

by on December 7, 2012
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The SEC Announces Relief Measures for Those Affected by Hurricane Sandy

by on November 15, 2012
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The SEC’s Resource Extraction Rules Will Not Be Put On Hold

by on November 9, 2012
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How to Request a Filing Date Adjustment for a Late Filing

by on November 2, 2012
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NYSE and Nasdaq Propose Listing Standards for Compensation Committees and Advisers

by on October 1, 2012
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New FINRA Rule 5123 – Private Placement of Securities Effective Date

by on September 7, 2012
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