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SEC snags flippers in muni kickback scheme
The SEC has filed charges against two unregistered firms and 18 individuals for allegedly posing as retail investors to "flip" new issue municipal bonds to broker-dealers in exchange for...
Securities Act claim did not bar removal under CAFA
A judge in the Northern District of California has denied a motion to remand a securities class action back to the California state court from whence it originated. The reasoning in this case, which...
For the first time, PCAOB invites comments on its five-year plan
For the first time in its history, the Public Company Accounting Oversight Board is seeking public feedback on a draft of its five-year strategic plan. The plan is designed to align PCAOB programs...
State attorneys general urge SEC to rework Reg BI
A coalition of 17 state attorneys general wrote to the SEC with criticisms of Regulation Best Interest as currently proposed. The AGs urge the agency to strengthen investor protection, including by...
U.S. Rep. Chris Collins charged with insider trading, lying to FBI
U.S. Rep. Christopher Collins (R-NY) has been charged by the SEC and Department of Justice with alleged insider trading. According to authorities, Collins told his son confidential, non-public...