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Each quarter, Sidley’s Securities & Derivatives Enforcement and Regulatory Practice publishes this review of recent developments in SEC enforcement and regulatory matters.
Summary of certain recent guidance from the Securities and Exchange Commission (the “SEC”) that is applicable to investment advisers and brokerdealers, namely: (i) an SEC
Now that 2013 has wrapped up, it is that time of year again when we dust off the compliance crystal ball and take a look
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