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Catch up on season 1, a five-episode series on choice of entity issues featuring Vinay Navani, shareholder at WilkinGuttenplan.

Citigroup Global Markets, Inc. ("CGMI") agreed to pay $18.3 million to settle SEC charges that the dually registered investment adviser and broker-dealer had overcharged...

BakerHostetler, in a showcase of our depth of experience, presented an informational seminar in June 2015 at the 51st Paris Air Show, the largest aerospace trade show in the world.

Casey Kaplan is the head of compliance at Nike, currently serving as the senior legal director of global ethics and compliance. In this episode of Client Conversations With Craig Budner...

Sheila Murphy is a certified executive and legal coach who helps professionals accelerate career growth, strengthen leadership skills, and drive business development.

Sheila Murphy is a certified executive and legal coach specializing in career advancement, leadership development, and business growth. In addition to her one-on-one coaching, workshops...

Clint David was a guest on The Chip Franklin Show on February 24, 2015.

Article from Waller Law.

The SEC published in the Federal Register a proposal.

An SEC proposal to expand the electronic filing requirements under the EDGAR system was published in the Federal Register.

The comment deadline for the proposal is June 7, 2021.

On September 18, 2018, Shearman & Sterling submitted a comment letter on the SEC's proposed revisions to the financial disclosure requirements for registered debt securities ...

The deadline to comment on the NMLS Modernization Networked Licensing Model, Licensing Requirements Framework, Core Requirements & Identify Verification Proposal is Monday, May 31.

The FTC announced yesterday, October 22, 2008, that it is delaying enforcement of the Red Flag Rules by six months, to May 1, 2009.

Kim Nemirow, Ropes & Gray government enforcement partner, analyzes new compliance strategies global life sciences companies are facing in an evolving market.

Cultural celebrations can be a powerful way to foster inclusion and community in the workplace – but in today's evolving legal landscape, they must be approached with care.

Congressman Himes (CT) and eight other members of Congress wrote to FINRA and to the Securities and Exchange Commission questioning the typical 7% gross spread in U.S. IPOs.