Headline: SEC Charges Former DWAC Board Member and Others for Insider Trading in DWAC Securities Headline: SEC Charges Police Chief, Four Others in Connection with Insider Trading Before Pharmaceutical Merger Headline: SEC Charges Former Pfizer Statistician with Insider Trading Ahead of COVID-19 Announcement Headline: SEC Charges Stockbroker and Friend with Insider Trading Headline: SEC Charges Two Oregon Residents and Their Related Entities with $10 Million Ponzi-Like Scheme Headline: SEC Charges “Smart” Window Manufacturer, View Inc., with Failing to Disclose $28 Million Liability Headline: SEC Charges Former Army Financial Counselor Who Defrauded Gold Star Family Members Headline: SEC Charges Merrill Lynch and Parent Company for Failing to File Suspicious Activity Reports Headline: SEC Adopts Money Market Fund Reforms and Amendments to Form PF Reporting Requirements for Large Liquidity Fund Advisers Headline: SEC Proposes Rule Amendments to the Broker-Dealer Customer Protection Rule Headline: SEC Awards Whistleblower More Than $9 Million for Operating an Unregistered Securities Exchange Headline: SEC Charges Celsius Network Limited and Founder Alex Mashinsky with Fraud and Unregistered Offer and Sale of Securities Headline: SEC Charges Twice-Convicted Fraudster Eliyahu Weinstein and Five Others with $38 Million Ponzi-Like Scheme to Defraud Investors Headline: SEC Charges Digital World SPAC for Material Misrepresentations to Investors Headline: SEC, NASAA, and Wisconsin DFI to Host Investor Roundtable in Madison, Wisconsin on July 25 Cassidy Interim Acting Co-Directors of the Division of Examinations Headline: SEC Names Natasha Vij Greiner and Keith E. Lewis and Associates with Insider Trading Headline: SEC Adopts Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies Headline: SEC Proposes New Requirements to Address Risks to Investors From Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Headline: SEC Proposes Reforms Relating to Investment Advisers Operating Exclusively Through the Internet
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