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SEC Encourages Advisors to Self-Report Fiduciary Violations by June 12, 2018
The SEC announced a self-reporting initiative for investment advisors who admit violations of the federal securities laws relating to certain mutual fund share class election issues while promptly...
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Supreme Court Narrowly Interprets “Whistleblower” under Dodd-Frank,...
The Supreme Court has resolved a circuit split on whether Dodd-Frank’s whistleblower protections apply only to employees who report their concerns to the Securities and Exchange Commission (SEC). On...
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The Supreme Court Levels the SEC Playing Field
In a highly anticipated decision, the United States Supreme Court ruled the practice employed for years by the Securities and Exchange Commission of choosing administrative law judges to hear SEC...
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O Canada! What Canada’s Nationwide Legalization of Cannabis Means for...
Today marks a significant shift in cannabis policy, both domestically and internationally, as Canada becomes the first industrialized nation in the world, and only the second nation overall, to...
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Cryptocurrencies: Currency, Commodity, Security or Something Else?
Courts and regulators continue to struggle with how to define cryptocurrencies. The latest installment of this ongoing debate came from an unlikely source: a state appellate court’s opinion on a...
View ArticleSEC Division of Examinations Announces 2023 Examination Priorities
The SEC’s Division of Examinations last week announced its 2023 “examination priorities.” The division’s annual announcement of priorities provides valuable insight into the categories of registrants...
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