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SEC Rules and Regulations
SEC Issues Guidance on Rule 506(c) Exemption
SEC Issues No-Action Guidance Regarding Definition of “Knowledgeable Employee” Under the Investment Company ...
On December 2, 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed for public comment new rules that would govern FINRA members’ ability to make payments to persons...
A company that has been subject to SEC reporting obligations for fewer than three years, that has less than $150 million in public float, or that is affiliated with a broker-dealer, gener...
