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SEC Issues Stop Order to Prevent Northern California Company From Issuing Stock Under Amended Registration Statement

The Securities and Exchange Commission today issued a stop order to prevent a Northern California-based company from issuing stock after including false and misleading information in its amended registration statement for a...

SEC Charges Former Stock Promoter With Defrauding Investors in Florida Real Estate Venture

The Securities and Exchange Commission today filed fraud charges against a former Florida-based stock promoter currently serving a two-year prison sentence for lying to SEC investigators. The SEC’s complaint filed in U.S....

SEC Charges Technology Company Insider in California With Tipping Confidential Information Exploited by Hedge Funds

The Securities and Exchange Commission today filed insider trading charges against a former accounting manager at Nvidia Corp. who tipped a friend with confidential company information that set in motion a chain of tipping ...

Staff Letter: No-action relief under sections 5(b) and 6(a) of the Securities Act of 1933

No-action relief under sections 5(b) and 6(a) of the Securities Act of 1933

Guidance Update: Deregistration of Investment Companies: Applications on Form N-8F

Deregistration of Investment Companies: Applications on Form N-8F

Staff Letter: Exclusion of Shareholder Proposal Pursuant to Rule 14a-8

Exclusion of Shareholder Proposal Pursuant to Rule 14a-8