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Supreme Court Rules That Securities Act Class Actions May Proceed in State Court

The U.S. Supreme Court has ruled that class action plaintiffs can bring claims under the Securities Act of 1933 in either state or federal court. ...more

SEC Fines Private Company in First Enforcement Action Resulting from Rule 701 Option Grants Investigation

The U.S. Securities and Exchange Commission brought an action against San Francisco-based Credit Karma on March 12 for issuing employee stock options without a valid registration exemption because the issuer failed to satisfy...more

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