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SEC Places Focus on Private Equity

SEC Places Focus on Private Equity
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Gary genslerJay claytonSenate committee on bankingUs house appropriations committeeEnforcement division asset management unitExamination divisionSenate committeeUrban affairsChair genslerEnforcement divisionsAppropriations committeeEnforcement divisionAsset management unitChair jay claytonஜெய் களிமண்செனட் குழு ஆன் வங்கி

Lest We Forget, the SEC Cares About Private Equity | Foley & Lardner LLP

Lest We Forget, the SEC Cares About Private Equity | Foley & Lardner LLP
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Gary genslerJay claytonSenate committee on bankingUs house appropriations committeeFoley lardnerEnforcement division asset management unitExamination divisionSenate committeeUrban affairsChair genslerEnforcement divisionsAppropriations committeeEnforcement divisionAsset management unitChair jay claytonஜெய் களிமண்

SEC Charges Poloniex For Operating Unregistered Digital Asset Exchange

SEC Charges Poloniex For Operating Unregistered Digital Asset Exchange
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Johno enrightKristina littmanPamela sawhneyAinsley kerrExchange commissionEnforcement division cyber unitFair fundDaphna waxmanCyber unitAsset management unitMarket abuse unit trading specialist ainsleyகிறிஸ்டினா லிட்மேன்பமீலா சவ்னேய்ஐன்ஸலே கெர்பரிமாற்றம் தரகுஅமலாக்கம் பிரிவு சைபர் அலகு

SEC Charges RIAs + Broker-Dealer Firms for Failure to File + Deliver Form CRS | Foreside

SEC Charges RIAs + Broker-Dealer Firms for Failure to File + Deliver Form CRS | Foreside
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Adam adertonExchange commissionFinancial industry regulatory authority incSecurities exchangeExchange act ruleEnforcement division asset management unitInvestment advisers actExchange actAsset management unitRetail client deliverySmall entity compliance guideAdviser act rulesSecurities exchange actAdvisers actInvestment adviser registration databaseCentral registration depository

SEC fines 27 advisory firms in first-ever Form CRS action

SEC fines 27 advisory firms in first-ever Form CRS action
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New jerseyUnited statesAdams adertonGurbirs grewalFinancial industry regulatory authority incExchange commission onEnforcement division asset management unitExchange commissionRegulation best interestFinancial industry regulatory authorityAsset management unitபுதியது ஜெர்சிஒன்றுபட்டது மாநிலங்களில்நிதி தொழில் ஒழுங்குமுறை அதிகாரம் இன்க்பரிமாற்றம் தரகு ஆன்அமலாக்கம் பிரிவு சொத்து மேலாண்மை அலகு