July 23, 2018

SEC Charges Mizuho Securities for Failure to Safeguard Customer Information

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July 23, 2018

Julie Lutz, Regional Director of the Denver Regional Office, to Leave SEC After More Than 40 Years Serving Investors

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July 20, 2018

Deutsche Bank to Pay Nearly $75 Million for Improper Handling of ADRs

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July 18, 2018

SEC Charges Investment Adviser and CEO With Misleading Retail Investors

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July 18, 2018

SEC Adopts Rules to Enhance Transparency and Oversight of Alternative Trading Systems

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July 18, 2018

SEC Adopts Final Rules and Solicits Public Comment on Ways to Modernize Offerings Pursuant to Compensatory Arrangements

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