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DC Circuit Ruling May Limit SEC Ability to Bar or Suspend Registered Persons

The US Court of Appeals for the DC Circuit upended a longstanding Securities and Exchange Commission (SEC or Commission) position by ruling on April 30 that “willful” conduct—a frequent prerequisite in a broad range of...more

SEC Officials Discuss Commission’s Accomplishments, Goals, Priorities at ‘SEC Speaks 2019’

Senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current and former commissioners, came together last week for their annual gathering in Washington, DC, to discuss the...more

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