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Searching Content indexed under Trials & Appeals & Compensation by Kenneth Herzinger ordered by Published Date Descending.
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The SEC's Authority To Enforce The Bank Secrecy Act Is Challenged
In the past few years, the SEC has become increasingly active in bringing enforcement actions based on broker-dealers' alleged failures to comply ...
United States
24 Jul 2018
2
The SEC's Authority To Enforce The Bank Secrecy Act Is Challenged
In the past few years, the SEC has become increasingly active in bringing enforcement actions based on broker-dealers' alleged failures to comply with requirements of the Bank Secrecy Act (BSA) ...
United States
18 Jul 2018
3
The SEC Wins First Jury Trial In A Muni Case: SEC v. City Of Miami And Michael Boudreaux
In what the SEC called "the first federal jury trial by the SEC against a municipality or one of its officers for violations of the federal securities laws"....
United States
20 Sep 2016
4
SEC Speaks – What To Expect In 2016
The leaders of the Securities and Exchange Commission ("SEC" or "Commission") addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C.
United States
2 Mar 2016
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