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SEC Charges Four Individuals for Long-Running Scheme to Unlawfully Trade in Advance of Numerous Follow-On Offerings
The Securities and Exchange Commission today filed fraud charges against John Lowe, Randy Grewal, Richard Ringel, and David Cooper arising from their longstanding fraudulent scheme to trade in advance of the public announcement of the timing or price, or… Full…
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Commerce Updates Semiconductor Alert Mechanism KCPullen@doc.gov Mon, 10/02/2023 – 11:35 ICT Supply Chain Manufacturing FOR IMMEDIATE RELEASE Monday, October 2, 2023 Office of Public Affairs…
Joint Statement Following the 2023 U.S.-Mexico High-Level Economic Dialogue ASowah@doc.gov Fri, 09/29/2023 – 20:55 Export and investment promotion FOR IMMEDIATE RELEASE Friday, September 29, 2023…
Readout of Secretary Raimondo’s Meeting with Minister of External Affairs of India Subrahmanyam Jaishankar ASowah@doc.gov Fri, 09/29/2023 – 19:07 Export and investment promotion FOR IMMEDIATE…
September 29, 2023 From OSHA: Read More
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual…
The Securities and Exchange Commission today announced charges against accounting firm Prager Metis CPAs, LLC and its California professional services firm, Prager Metis CPAs LLP,…
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser D. E. Shaw & Co., L.P. for raising impediments to…
Summary Readout of Deputy Secretary Don Graves’ Travel to Tokyo KCPullen@doc.gov Fri, 09/29/2023 – 10:34 Cybersecurity Export and investment promotion Infrastructure Trade enforcement FOR IMMEDIATE…
The Securities and Exchange Commission today announced charges against five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers for widespread…
The Securities and Exchange Commission today charged Newell Brands Inc., a Georgia-based consumer products company and its former CEO, Michael Polk, with misleading investors about…