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The SEC Division of Corporation Finance granted an exemption from Exchange Act Rule 14e-1(a) ("Unlawful Tender Offer Practices") to HCL Technologies Limited, a public limited company incorporated under the laws of India.

An investment firm was fined $2.9 billion by several domestic and foreign authorities, including the Federal Reserve Board, the DOJ, the SEC, the Financial Conduct Authority and the Bank...

The SEC Division of Investment Management granted no-action relief to permit certain investment advisory entities created by a merger to continue to rely on pre-merger exemptive orders.

The MSRB outlined the various methods available to regulated entities, issuers, attorneys, investors ...

The MSRB solicited applications to fill vacancies on its Board of Directors. Applications will be accepted through February 17, 2017.

The SEC adopted the preliminary determination related to a "notice of covered action" which awarded "more than $4 million to a whistleblower whose original information alerted the agency to a fraud."

In an Investor Bulletin, the SEC provided information as to the escheatment process (i.e., the process of "turning custody ...

The SEC awarded a total of more than $7 million to three whistleblowers who assisted the commission in prosecuting an investment scheme.

The SEC awarded approximately $4 million to an overseas whistleblower whose tip led to a successful enforcement action.

In remarks at the 2019 Fixed Income Market Structure Advisory Committee Meeting, SEC Commissioner Elad Roisman underscored the importance of increasing

The SEC Division of Corporation Finance granted no-action relief to a British multinational insurance company from being considered an "ineligible issuer" under Rule 405 of the Securities Act.

The SEC Division of Corporation Finance granted an Israeli public company relief from filing a preliminary proxy statement.

Michael J. Osnato Jr., SEC Enforcement Division Complex Financial Instruments Unit Chief, will leave the SEC later this month.

The SEC Division of Corporation Finance granted exemptive relief to MiMedx Group, Inc.

The SEC granted exemptive relief to an exchange-traded fund (the "Fund") from the notice requirements of Exchange Act Rule 10b-17.

The SEC formed an Asset Management Advisory Committee with an initial two-year term beginning on November 1, 2019.

The SEC staff provided no-action relief to a Canadian company, allowing it to conduct a tender offer in the United States in accordance with the requirements of Canadian law and exemptions granted from those requirements.

The SEC Division of Corporation Finance granted no-action relief to a bank from being considered an "ineligible issuer" under Securities Act Rule 405, subject to certain conditions.