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Venable LLP
Michael J. Rivera
Michael J. Rivera
Venable LLP
Leveling The Playing Field Or Protecting Its Turf?
12 Oct 2015 | United States
Leveling The Playing Field Or Protecting Its Turf? SEC Proposes Amendments To Rules Governing Administrative Proceedings
09 Oct 2015 | United States
Second Circuit Declines to Review Landmark Newman Insider Trading Decision
13 Apr 2015 | United States
SEC And FINRA Cybersecurity Reports Highlight Cybersecurity As A New Compliance Priority
25 Feb 2015 | United States
SEC Eyes And Ears Are Upon Financial Firms: OCIE Announces Examination Priorities For 2015
04 Feb 2015 | United States
FINRA 2015 Priorities Letter
28 Jan 2015 | United States
FINRA Ends 2014 With An Enforcement Bang
06 Jan 2015 | United States
FINRA Targets Broker-Dealer Order Routing And Execution Quality Of Customer Orders
15 Jul 2014 | United States
Credit Unions Beware – The TARP Watchdog Is Ready To Pounce
03 Jun 2014 | United States
SEC To Scrutinize Never-Examined Investment Advisers
12 Mar 2014 | United States
Bad Actors: Snubbed At Golden Globes, But Awarded Guidance From SEC
14 Jan 2014 | United States
No Bar Is Off-Limits: SEC Enforces 2004 Order Barring Accountant – Redux
07 Jan 2014 | United States
SEC Sheds Light On Its Pursuit Of "Streamlined" Investigations
08 Nov 2013 | United States
Broken Windows And Broken Gates: SEC’s White Vows To Repair And Clean Up The Securities Market
26 Oct 2013 | United States
Mary Jo White Throws Down The Gauntlet: Vows To Wield The SEC's Full Enforcement Arsenal Against Corporate And Individual Wrongdoers
04 Oct 2013 | United States
SEC Issues Risk Alert on Short Selling
25 Sep 2013 | United States
No Bar Is Off-Limits: SEC Enforces 2004 Order Barring Accountant
12 Sep 2013 | United States
SIGTARP’s Pursuit Of TARP-Related Misconduct – No End In Sight
27 Jul 2013 | United States
SEC Allows Public Advertising Of Private Securities Offerings
24 Jul 2013 | United States
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