Noah Teixeira

Noah Teixeira

Morgan Lewis

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Developments in SEC and FINRA Enforcement and Exams for Investment Advisers and Broker-Dealers: 2024–2025

The US Securities and Exchange Commission (SEC) brought a number of significant enforcement proceedings against investment advisers and broker-dealers in FY 2024 and during the first quarter of FY 2025. If history serves as a...more

2/21/2025  /  Broker-Dealer , Compliance , Enforcement Actions , Financial Services Industry , Fraud , Insider Trading , Investment Adviser , Investment Management , Securities and Exchange Commission (SEC) , Securities Regulation
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