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Our Take Blog
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Our Take Blog
April 28, 2010
Law Firm and other Secondary Actors Not Liable to Investors
The U.S. Court of Appeals for the Second Circuit has ruled that secondary actors in securities…
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April 27, 2010
Private Equity Fund Manager and Principal of Investee Company Charged
The SEC has filed a complaint against a private equity fund manager and the principal of…
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April 21, 2010
FINRA Warns Firms to Conduct Due Diligence of Private Placements
FINRA has issued Regulatory Notice 10-22 to its members detailing their due diligence and suitability obligations…
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April 20, 2010
SEC Rejects 13F Exemptive Application that Holdings are Protected Trade Secrets
The SEC has rejected an institutional investment manager’s application for exemption from Form 13F filings on…
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April 19, 2010
Investment Bank Sued for Failing to Disclose Client’s Role in CDO
The SEC has filed a lawsuit against a major investment bank for failing to disclose that…
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