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Searching Content indexed under Compliance by Martín Estrada ordered by Published Date Descending.
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OCIE's Retail Investor Protection Focus
On April 29, 2019, Securities and Exchange Commission Office of Compliance Inspections and Examinations Director Peter Driscoll delivered a speech on the OCIE's 2019 priorities, in which he identified, among other priorities, the following:
United States
10 Jun 2019
2
SEC Releases C&DIs Regarding Regulation Crowdfunding
The SEC Staff notes that an intermediary is permitted to have a financial interest in the issuer.
United States
19 Oct 2018
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