Elizabeth Baxter

Elizabeth Baxter

Vedder Price

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SEC Settles Enforcement Proceedings Against Adviser for Alleged Whistleblower Protection Rule Violations

On September 26, 2024, the SEC announced the settlement of administrative proceedings brought against a registered investment adviser for various alleged violations of Rule 21F-17(a) under the Securities Exchange Act of 1934,...more

10/16/2024  /  Enforcement Actions , Non-Disclosure Agreement , Securities and Exchange Commission (SEC) , Settlement Agreements , Whistleblower Protection Policies , Whistleblowers
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