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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2019-02-19T21:45:00
The SEC has proposed expanding the “test-the-waters” accommodation—currently available to emerging growth companies—to all issuers, including investment company issuers.
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News and analysis for the well-informed compliance or audit exec.
Annual Membership best value
Subscribe now for $365
Our lowest price ($1 per day) for one year.
2019-10-09T20:16:00Z By Lori Tripoli
The SEC has adopted a rule that allows companies interested in potentially going public to gauge interests in IPOs, instead of just emerging growth companies covered under the current rule.
2024-07-02T13:50:00Z By Aaron Nicodemus
Crypto-friendly Silvergate Bank will pay a total of $63 million penalties to California and the Federal Reserve Board to settle charges that its anti-money laundering program failed to properly monitor more than $1 trillion worth of customer transactions.
2024-06-28T14:57:00Z By Aaron Nicodemus
The Supreme Court of the United States ruled that the Securities and Exchange Commission’s practice of using in-house tribunals overseen by an administrative judge to adjudicate securities fraud cases is unconstitutional.
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