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Corporate and Financial Weekly Digest - Volume IX, Issue 27

In this issue: - SEC Publishes Guidance for Investment Advisers and Proxy Advisory Firms Regarding Proxy Voting and Solicitation - SEC Division of Corporation Finance Issues C&DIs Relating to Accredited Investor...more

7/14/2014 - Accredited Investors Audits C&DIs Exchange-Traded Products FINRA General Solicitation Hedge Funds Insider Trading Investment Adviser Proxy Advisors Proxy Voting Guidelines SEC Verification Requirements

SEC Oversight of FINRA Exempt from FOIA Request

The District Court for the District of Columbia has held that the Securities and Exchange Commission is exempt from producing documents relating to its audit, inspections, and review of the Financial Industry Regulatory...more

3/27/2013 - Audits Document Productions FINRA FOIA SEC

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