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Eight Noteworthy Investment Adviser Enforcement Actions From the First Half of 2023 | Patterson Belknap Webb & Tyler LLP

Presented below is a highlight of eight noteworthy enforcement actions the Securities and Exchange Commission has taken against investment advisers through the second quarter of 2023.. ....

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Regulatory Update and Recent SEC Actions - July 2023 | Blank Rome LLP

REGULATORY UPDATES - Recent SEC Leadership Changes - The Securities and Exchange Commission (the “SEC”) announced the appointment of Deborah J. Jeffrey as. ....

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July 2023 Regulatory Update and Recent SEC Actions

July 2023 Regulatory Update and Recent SEC Actions
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Nutter Securities Enforcement Update: June 1, 2023 | Nutter McClennen & Fish LLP

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ....

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Advisory Firm Charged with Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs

Advisory Firm Charged with Breach of Fiduciary Duty in Connection with Use of Leveraged ETFs
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