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Category: SEC

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SEC Unveils Reforms for Private Fund Advisers

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Private fund advisers have long enjoyed a light touch from U.S. regulatory authorities. However, the Securities and Exchange Commission is moving to ensure those days come to an end. The SEC announced on August 23 that it adopted new reform...

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Companies Responding to SEC’s Inflation Comments

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We told you last year about the Securities and Exchange Commission’s inflation-curious attitude as corporations and consumers alike have been forced to deal with rising prices. And just as inflation doesn’t appear to be going away anytime s...

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It’s All About the Money (Laundering)

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The Securities and Exchange Commission is sounding the alarm about money laundering. The SEC Division of Examinations sent out a risk alert last month warning that broker-dealers are underfunding and understaffing their anti-money-launderin...

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Cybersecurity Disclosure Rule Poses “Material” Challenge

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To hear Shakespeare tell it, labels are irrelevant. “A rose by any other name would smell as sweet,” Juliet tells Romeo, assuring him that she loves him despite his family name. This may not come as a surprise, but the SEC does not adopt th...

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Corporate Bankruptcies Continue Soaring to Near-Record Highs

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A surge in corporate bankruptcies through the first half of the year shows no signs of abating, putting 2023 on track for the highest number of bankruptcy filings in over a decade. With 54 new corporate bankruptcies recorded by S&P Glob...

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