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Recent Posts
SEC Charges Sponsor of Feeder Fund that Invested in Ponzi Scheme
Thursday, May 24, 2012
FINRA Says that Brokers Must Put Clients’ Interests First
Wednesday, May 23, 2012
Khuzami Defends and Explains SEC’s Settlement Practices
Monday, May 21, 2012
Best of the Web - May 2012
Friday, May 18, 2012
NYS’s Highest Court Rules that Compliance Officers Can’t Sue for Wrongful Termination
Thursday, May 17, 2012
OCIE’s Deputy Director Announces Exam Sweep of Private Fund Advisers
Wednesday, May 16, 2012
SEC Sues to Obtain Audit Work Papers from Chinese Firm
Tuesday, May 15, 2012
SEC Moves against Former Detroit Mayor and Investment Adviser for Kickbacks
Monday, May 14, 2012
Side-by-Side Management Leads to Charges against Fund Manager
Friday, May 11, 2012
Todd Cipperman Presents "Our Take" at ICI General Membership Meeting
Wednesday, May 09, 2012
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9/9/2010
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8/26/2010
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8/26/2010
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8/26/2010
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8/23/2010
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Ketchum Wants Firms to Segregate Advisory Activities
7/22/2010
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Ketchum Wants Firms to Segregate Advisory Activities
6/23/2010
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FINRA Expands Regulatory Jurisdiction to NYSE
5/5/2010
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Investment Management Law: Monthly Archives for June 2010
SEC Adopts Pay-to-Play Rules; Allows Solicitation Payments to RIAs and BDs
Posted by Todd Cipperman at
6/30/2010 7:07 PM
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SEC Files Federal Lawsuit Alleging Adviser Made Unsuitable Recommendations
Posted by Todd Cipperman at
6/30/2010 6:53 AM
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Investment Adviser Representative Info Now Available Through SEC Website
Posted by Todd Cipperman at
6/29/2010 5:47 AM
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CCO Fined and Barred for Failure to Supervise
Posted by Todd Cipperman at
6/27/2010 8:28 PM
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FINRA Levies $4.3 Million in Fines on CDS Brokers for Price Communications
Posted by Todd Cipperman at
6/25/2010 6:54 AM
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Mass. Sues Bank Affiliated BD for Failing to Discipline Brokers
Posted by Todd Cipperman at
6/24/2010 7:41 AM
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SEC Charges CDO Manager with Overpaying for MBS to Protect Clients and Inflate Fees
Posted by Todd Cipperman at
6/22/2010 5:46 AM
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FINRA Coordinator Program to Focus on Surveillance
Posted by Todd Cipperman at
6/21/2010 7:10 AM
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SEC Proposal Would Ban Suitability Statements in Fund Ads
Posted by Todd Cipperman at
6/17/2010 5:37 AM
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FASB Proposal Would Require Brokerage Costs in Expense Ratio
Posted by Todd Cipperman at
6/15/2010 7:15 PM
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SEC Charges Private Equity Execs with Securities Fraud
Posted by Todd Cipperman at
6/13/2010 8:01 PM
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SEC Approves Trading Halt Rules
Posted by Todd Cipperman at
6/11/2010 5:50 AM
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Schapiro Says SEC Will Consider Proxy Voting Process
Posted by Todd Cipperman at
6/9/2010 5:38 AM
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Donohue Says that BD Registration is Required for Private Fund Intermediaries
Posted by Todd Cipperman at
6/8/2010 5:35 AM
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SEC Files Suit Against State-Registered Adviser
Posted by Todd Cipperman at
6/4/2010 5:55 AM
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Ketchum Wants Firms to Segregate Advisory Activities
Posted by Todd Cipperman at
6/2/2010 4:28 AM
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SEC Allows SWIFT for Confirm Delivery
Posted by Todd Cipperman at
6/1/2010 6:33 AM
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