By Jaclyn Jaeger2017-02-21T09:15:00
The North American Securities Administrators Association, representing the interests of state securities agencies, and the Securities and Exchange Commission signed an information-sharing agreement as new rules to facilitate intrastate crowd-funding offerings and regional offerings take effect. Jaclyn Jaeger has more.
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2017-03-07T12:15:00Z By Joe Mont
Crowdfunding is a revolutionary tool for capital formation. Dealing with its risks may provide a catalyst for fresh thinking about investor protections.
2025-12-17T20:09:00Z By Adrianne Appel
The 2025 year has been so rich with compliance stinkers, and rife with poor judgment, compliance missteps, outright malfeasance and greed, greed, greed, that it was almost impossible to choose just six epic compliance failures from this year’s massive poop pile.
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The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
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