Tag: Financial history of the United States

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Top 5 SEC Enforcement Developments for August 2024 | Morrison Foerster

Added to Collection on: 2024-09-24 21:12:59

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Stock market
76th United States Congress
Financial history of the United States
Corporate crime
Financial markets
U.S. Securities and Exchange Commission
Registered Investment Adviser
Investment Advisers Act
Cryptocurrency
Kraken
Securities Exchange Act
Broker-dealer
Ripple Labs Inc.

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Fintech in Brief: Win Some, Lose Some: Recent Developments in the Regulation of Private Funds

Added to Collection on: 2024-10-15 15:49:28

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76th United States Congress
Financial history of the United States
Financial adviser
U.S. Securities and Exchange Commission
Investment Advisers Act
Gabelli v. SEC
Lucia v. Securities and Exchange Commission

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Large owner Third Rock Ventures V, L.P. converted options into 7,663,729 shares and ...

Added to Collection on: 2024-10-28 21:08:52

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73rd United States Congress
U.S. Securities and Exchange Commission
SEC filings
76th United States Congress
Financial history of the United States
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Securities Exchange Act
Investment company
Security
National Securities Markets Improvement Act

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Director Hansen Douglas B transferred by will 28,517 shares) (SEC Form 4) - Quantisnow

Added to Collection on: 2024-11-23 12:36:58

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73rd United States Congress
U.S. Securities and Exchange Commission
SEC filings
76th United States Congress
Financial history of the United States
Investment Company Act
Securities Exchange Act
Investment company
Security
National Securities Markets Improvement Act

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SEC Fines 12 Firms $63M for Failing to Maintain Proper Electronic Records - planadviser

Added to Collection on: 2025-01-14 21:33:13

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Corporate crime
76th United States Congress
Financial history of the United States
Blackstone Inc.
David Blitzer
U.S. Securities and Exchange Commission
Apollo Global Management
Securities Exchange Act
Kohlberg Kravis Roberts
Investment Advisers Act
Mutual fund scandal

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SEC Settles Enforcement Proceedings Against Quantitative Hedge Fund Manager for ... - JD Supra

Added to Collection on: 2025-02-28 18:32:36

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76th United States Congress
Financial history of the United States
Investment management
Investment Advisers Act
Separately managed account
Registered Investment Adviser
Hedge fund
Financial adviser
Whistleblowing
United States Securities Regulation

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Investment Management Newsletter – Q2 2025 | Sullivan & Cromwell LLP

Added to Collection on: 2025-07-10 20:23:42

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76th United States Congress
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Mutual funds
Institutional investors
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ripple labs
Binance
Cryptocurrency
Sullivan & Cromwell
United States

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SEC clears path for Ripple, Coinbase, BitGo to qualify as custodians - Crypto News

Added to Collection on: 2025-10-01 23:09:04

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76th United States Congress
Financial history of the United States
BitGo
Decentralization
Financial technology
Coinbase
United States Securities and Exchange Commission
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Cryptocurrency
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SEC Staff Issues No-Action Relief Permitting Use of State-Chartered Trust Companies as ...

Added to Collection on: 2025-10-03 14:15:39

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BCP Investment Corporation to Announce Third Quarter 2025 Financial Results and Host ...

Added to Collection on: 2025-10-08 20:51:46

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NASDAQ
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GlobeNewswire
BCP Investment Corporation

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