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SEC Notches Record 868 Enforcement Actions in 2016

The SEC isn’t asleep. Far from it. The staff are hard at work not just crafting rules for new legislation but also in ferreting out violations of securities regulations. In […]

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FinLaw:  The Issuer Exemption and Investment Advisers Who Are Operating Funding Platforms By Scott Andersen Can advisers operate a funding platform for Rule 506 offerings without registering as a broker-dealer?  […]

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