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- SEC Targets "AI Washing" With Two New Settled Casesjdsupra.com
- Montana Must Stand Against NASAA’s Proposed Rule Changeflatheadbeacon.com
- Rule 506 Offerings Continue to be Popular with Real Estate Companiesjdsupra.com
- NASAA Report on BD Compliance With Reg BI: Finds Progress, but Specifies Work To Be Donejdsupra.com
- Beware of holiday season scamscrittendenpress.blogspot.com
- SEC Staff Report on Accredited Investor Definitionjdsupra.com
- Securities regulators oppose special treatment of crypto in Coinbase casecointelegraph.com
- AVirginians warned to read disclosure documents before buying a franchise businessaugustafreepress.com
- Regulation BI: Key Perspectives from Recent Report by State Regulatorsjdsupra.com
- Nexo achieves CSA STAR Certificationcoinjournal.net
- Nevada Adopts M&A Broker Exemption Rulejdsupra.com
- SEC Withdraws M&A Brokers No-Action Letter, Forcing Financial Advisers to Larger Private Companies to Register as Broker-Dealersjdsupra.com
- SEC Staff Withdraws 2014 Letter in Response to Federal M&A Broker Exemptionjdsupra.com
- FINRA Re-Proposes Work-From-Home Supervisory Locationsjdsupra.com
- New M&A Broker Exemption: To Be Or Not To Be, That Is The Questionjdsupra.com
- Middle Market M&A Brokers Get Reliefjdsupra.com
- Tip 2 for Updating Your Compliance Program: Continuing Education Requirementsjdsupra.com
- SEC Closes Loopholes on Insider Trading Plans, States Get Tough on Data Protection, More States Send IARs to School and Form 13F Gets a Makeover: Regulatory Update for February 2023jdsupra.com
- SEC Investor Advisory Committee Meetingjdsupra.com
- Congress Codifies SEC Staffs MA Broker No Action Letter With a Tweakjdsupra.com
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