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1 Securities and Exchange Commission SEC This Week
2 Kodak Loan Disclosure and Stock Surge Under SEC Investigation
3 SEC Enforcement Co-Director Steven Peikin to step down
4 Grayscale Ethereum Trust Files Form 10 with SEC Other OTC:ETCG
5 New SEC Disclosure: What Should You Do With The Form CRS That Just Came In The Mail?
6 Still no settlement between SEC and securities trader George Nikas
7 SEC approves shrinking MSRB board
8 World Acceptance Corp. to pay $21.7M to resolve SEC FCPA case
9 Quanterix Announces Proposed Public Offering of Common Stock
10 SEC Proposes Fund Disclosure, Advertising Rule Modifications
11 SEC Proposes Amendments to Form 13F for Investment Managers
12 SEC Registered Broker-Dealer Is Launching a Security Token-Friendly Platform
13 SEC Seeking 'Smart Contract' Tracing Tool That Can Spot Security Vulnerabilities
14 SEC adopts amendments to proxy advice rules and updates guidance for investment advisers
15 Form DEFA14A Spartan Energy Acquisiti
16 Villager invested more than $500000 after dinner with SEC probe target
17 Senate Confirms SEC Nominees Peirce, Crenshaw
18 The SEC's Efforts to Shift Profits from National Securities Exchanges to Market Participants Receives Latest Boost from DOJ Antitrust-SEC Memorandum of Understanding
19 SEC Enforcement Co-Director Steven Peikin to Depart
20 Form 3 Vistas Media Acquisition For: Aug 06 Filed by: Vistas Media Sponsor, LLC
21 US securities regulator shopping for a smart contract analysis tool
22 Ex-Cannabis Co. CEO To Pay SEC $1.4M For Securities Fraud
23 Current Challenges With US Equity Consolidated Data
24 Using Blockchain To Settle Trades Could Alter Litigation
25 FSD Pharma Inc. Announces Closing of US$10 Million Registered Direct Offering to Institutional Investors
26 The US SEC is looking to buy a blockchain forensic tool to analyze smart contracts.
27 SEC cites deficiencies in Form CRS filings
28 Republic Cuts Through SEC Red Tape to Raise $16M via Security Token Sale
29 SEC, Robert Morgan reach tentative settlement | Local News
30 The SEC and DOJ Sign Historic Memorandum of Understanding to Enhance Competition in Securities Markets
31 SEC Proposes Overhaul of Retail Fund Disclosure Framework
32 SEC Updates Indexed Annuity Investor Bulletin
33 Hotels criticized for taking coronavirus bailout money face SEC investigation
34 SEC Nominees Peirce, Crenshaw Approved by Senate Banking Panel
35 SEC Adopts 2019 Proxy Voting Amendments, Minus the Bite
36 The SEC Is Proposing a Big Change. These Firms Are Not Happy About It.
37 SEC filing shows that Uniswap raised $11 million in June
38 Jim Cramer blasts SEC's 'outrageous' proposed rule change for institutional investor disclosures
39 20 Institutional Bitcoin Investors Revealed, But Soon The List May Vanish
40 Form 6-K Cellect Biotechnology For: Aug 06
41 Gladstone Investment Corporation Launches Public Offering of 6.00% Notes
42 Form 425 Ranpak Holdings Corp. Filed by: Ranpak Holdings Corp.
43 SEC investigates Kodak's government loan disclosure: WSJ | WSAU News/Talk 550 AM · 99.9 FM | Wausau, Stevens Point
44 SEC Rule Proposal Would Slash Number of Investment Managers That Need to Report Quarterly Holdings
46 Hunt Companies Finance Trust, Inc. Announces Investor Call for August 10, 2020
47 AquaBounty Technologies, Inc. Announces Proposed Public Offering of Common Stock
48 Avinger Closes $6 Million Underwritten Public Offering of Common Stock
49 DOL Fiduciary Rule Debate Continues in Public Comments
50 One Month On, Forsage Continues Despite SEC’s Ponzi Warnings
51 The Latest Money Insanity: The SEC Wants Retail Investors To Invest In Private Equity
52 DiaMedica Announces Pricing of $20 Million Public Offering of Common Shares
53 SEC Names McCord to Top Corporation Finance Accountant Job
54 Citing Liu, 9th Circ. Nixes SEC's $15.5M Win In EB-5 Case
55 A New Frontier for Whistleblowers: The Model Whistleblower Award and Protection Act for the States
56 SEC Warning: Ransomware Targets Financial Networks
57 Underserved Small Businesses Have Been Dramatically Impacted by COVID, Improvements to Crowdfunding Can Help
58 SEC disclosure plan would keep stock holdings in the dark
59 Maxeon Solar Technologies Form 20-F Registration Statement Declared Effective by SEC
60 White House Seeks Crackdown on U.S.-Listed Chinese Firms
61 Freddie Mac Prices $549 Million Multifamily KG-Deal, K-G03
62 Form 3 Leidos Holdings, Inc. For: Jul 31 Filed by: Porter Elizabeth A
63 American Crypto Investment App Abra Gets Charged $150.000 by both SEC and the CFTC For Unregistered Security-Based Swap Transactions
64 SEC, VFA Reach Settlement Over Disclosures to Florida Teachers
65 Strategic Education Announces Pricing of Upsized Public Offering of Common Stock
66 Top U.S. market's audit watchdog gives gloomy forecast for quality bookkeeping at U.S.-listed Chinese firms
67 SEC Chair Clayton says he's worried about short-term trading in stocks like Tesla
68 Form 8-K PROTHENA CORP PUBLIC For: Aug 06
69 Quest Resource Holding Corporation Prices $3392500 Common Stock Offering
70 Form 8-K BIOTRICITY INC. For: Jul 31
71 RedHill Biopharma Seeks SEC Review of Suspicious Trading Activity
72 StoneCastle Financial Corp. Reports Second Quarter 2020 Results
73 Eagle Financial Bancorp, Inc. Announces Stock Repurchase Program and SEC Deregistration
74 UBS Declares Coupon Payments on 7 ETRACS Exchange Traded Notes
75 LawCloud Partners with Title3Funds
76 AgEagle Aerial Systems Announces Pricing of $10 Million Registered Direct Offering
77 Simulations Plus Announces Pricing of $100 Million Underwritten Offering of Common Stock
78 Form 8-K 12 Retech Corp For: Jul 06
79 ServiceNow Prices $1.5 Billion Offering of Senior Notes
80 SEC United States Securities and Exchange : Statement on the Proposal to Substantially Reduce 13F Reporting
81 Security Exchange Commission, NITDA partner on data protection
82 3D Systems Announces $150 Million At-The-Market Equity Offering Program
83 Form 3 Upjohn Inc For: Aug 06 Filed by: SUPRAN BRYAN
84 ARYA Sciences Acquisition Corp III Announces Pricing of $130 Million Initial Public Offering
85 Citius Pharmaceuticals Announces $6.0 Million Bought Deal Offering
87 Feds probe Mohawk Industries over claims of inflated revenues
88 Wells Fargo Files With SEC to Provide Exchange-Traded Funds
89 1847 Goedeker Inc. Announces Closing of Initial Public Offering
90 Quest Resource Holding Corporation Announces Proposed Registered Direct Offering of Its Common Stock
91 Tips to U.S. Securities and Exchange Commission surge in recent weeks -official
92 Securities and Exchange Commission: Systematically Assessing Staff Procedures and Enhancing Control Design Would Strengthen Internal Oversight
93 Securities and Exchange Commission Guidance on Conditional Relief from Coronavirus
94 Securities and Exchange Commission Issues Emergency COVID-19 Relief to Funds and Advisers
95 Investors left exposed as Trump's SEC gives America Inc a helping hand
96 Securities and Exchange Commission asks D.C. employees to work from home after coronavirus scare
97 U.S. SEC eases crowdfunding rules for firms due to coronavirus disruption
98 US SEC Launches PPP Loan Investigations
99 Securities and Exchange Commission Division of Corporation Finance Issues COVID-19 FAQs
100 U.S. SEC issues compliance focus areas for brokers before new rules take effect