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The SEC charged the investment services subsidiary of SunTrust Banks with collecting more than $1.1 million in avoidable fees from
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The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to a company
Emerging hedge fund managers are finding it harder than ever to raise capital.  They lack a sufficient track record, face
I recently was approached by a financial adviser looking for a referral for someone who could help her encrypt her
New Requirements for ADV Updates Starting October 1, 2017.   The Securities and Exchange Commission (the "SEC") requires SEC-registered investment
The Municipal Securities Rulemaking Board (MSRB) is reminding individuals associated with a municipal advisor firm that, pursuant to Rule G-3,
The Current Status of LGBT Rights in the US   In 2013, the U.S. Supreme Court struck down Section 3
FINRA is taking the next steps to strengthen controls on brokers with a history of misconduct and ensure greater accountability
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