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  • Statement Regarding Offers Of Settlement, SEC Chairman Jay Clayton, July 3, 2019

    Date 03/07/2019

    When the Securities and Exchange Commission is considering filing (or has filed) an action alleging violations of the federal securities laws, it often is in the public interest to pursue a timely, reasonable and consensual resolution of the matter. The Commission has long recognized that an appropriately-crafted settlement can be preferable to pursuing a litigated resolution, particularly when the settlement is agreed early in the process and the Commission obtains relief that is commensurate with what it would reasonably expect to achieve in litigation. In plain language, the sooner harmed investors are compensated, the offending conduct is remediated, and appropriate penalties are imposed, the better.

  • Nigerian Stock Exchange Collaborates With Chapel Hill Denham On Alternative Investment Training

    Date 03/07/2019

    The Nigerian Stock Exchange, in collaboration with Chapel Hill Denham, organized a training on alternative investments titled “Listed Real Assets: A Teach-In on Alternative Investments” on Wednesday, July 3, 2019.

  • John Berry, Associate Regional Director In Los Angeles Office, To Leave Agency

    Date 03/07/2019

    The Securities and Exchange Commission today announced that John W. Berry, Associate Regional Director for enforcement matters in the Los Angeles Regional Office, is leaving the agency this month after eight years of service.

  • CFTC Issues Social Media Customer Protection Advisory

    Date 03/07/2019

    The Commodity Futures Trading Commission (CFTC) today issued, "There’s Nothing to Like about Scammers on Social Media," a Customer Protection Advisory that warns customers to beware of and avoid unregistered brokers and advisers, as well as fake testimonials and so-called trading experts on social media platforms. Fraud offenders can create many online profiles or anonymous identities, and use them in a coordinated way to lure people into schemes.


  • SEC Names Sagar Teotia As Chief Accountant

    Date 03/07/2019

    The Securities and Exchange Commission today announced that Sagar Teotia has been named the agency’s Chief Accountant.

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