By Jaclyn Jaeger2017-02-21T09:15:00
The North American Securities Administrators Association, representing the interests of state securities agencies, and the Securities and Exchange Commission signed an information-sharing agreement as new rules to facilitate intrastate crowd-funding offerings and regional offerings take effect. Jaclyn Jaeger has more.
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2017-03-07T12:15:00Z By Joe Mont
Crowdfunding is a revolutionary tool for capital formation. Dealing with its risks may provide a catalyst for fresh thinking about investor protections.
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Three former executives at Archer-Daniels-Midland intentionally misled investors by inflating the performance of the company’s Nutrition unit, the U.S. Securities and Exchange Commission has alleged.
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Chief compliance officers and general counsel, beware: The Trump administration’s merging of its whole-of-government enforcement approach with its political agenda forewarns of escalating compliance risk on a national scale.
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