Securities Exchange Act Archives - Master Compliance

5 12, 2022

Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
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Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties
Broker-Dealer, Communication, Communications, Rules and Regulations, SEC

Electronic and Technology Takeaways from SEC’s Billion Dollar Penalties

By admin|2022-12-05T11:23:08-05:00December 5, 2022|Broker-Dealer, Communication, Communications, Rules and Regulations, SEC|

On September 22, 2022, the Securities and Exchange Commission announced [...]

17 05, 2021

Rule 13(f)
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Rule 13(f)
Broker-Dealer, Filing Requirements, Rules and Regulations, SEC

Rule 13(f)

By admin|2021-05-17T11:32:13-04:00May 17, 2021|Broker-Dealer, Filing Requirements, Rules and Regulations, SEC|

Institutional investment managers (“Managers”) must use Form 13F for reports [...]