• The SEC recently proposed to exempt certain finders from federal requirements to register as a broker -
• Massachusetts regulators are opposed to the relief and retain state remedies for unregistered broker activity...more
On December 4, 2020, the SEC brought its first case charging a public company, The Cheesecake Factory, with making misleading disclosures about the effects of COVID-19 on its business operations and financial condition. The...more
12/8/2020
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