The SEC announced settled administrative proceedings against Swapnil Rege, a North Brunswick, New Jersey portfolio manager and tr...
CN Editor
July 19, 2019
SEC ADOPTS AMENDMENTS TO UPDATE DEFINITIONS OF SMALL ENTITY FOR INVESTMENT COMPANIES AND INVESTMENT ADVISERS
SEC WRAPS OFFSHORE BOILER ROOM CASE
EQUITY PERPETUAL FUTURES APPROVED BY U.S. REGS
ADVISORY FIRM BREACHED FIDUCIARY DUTIES: SEC
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AMEX SANCTIONED FOR AML FAILINGS