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Our Take Blog
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Our Take Blog
August 17, 2010
Third Circuit Dismisses “Fraud-Created-the-Market” Theory for Auditor
The Third Circuit Court of Appeals declined to certify a class action against an auditor alleged…
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August 16, 2010
Regulators Issue Best Practices Report for Working with Seniors
The staffs of the SEC, FINRA and NASAA released a best practices report for working with…
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August 10, 2010
SEC Allows Firms to Exclude 529 Plans from Codes of Ethics Reporting
In a recent No-Action Letter, the Staff of the SEC’s Division of Investment Management allows investment…
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August 9, 2010
FINRA Fines BD for Unsuitable UIT and Closed-End Fund Transactions
FINRA fined a large broker-dealer $1.44 Million in connection with unsuitable sales of UIT and closed-end…
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August 3, 2010
FINRA Fines Underwriter for Misleading Prospectus Supplements
FINRA fined the underwriter of several MBS issues $7.5 Million for misrepresentations about delinquency data in…
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