Month: September 2023

Purchasing and selling securities for the account of others without registering as a broker has long been held to be a violation of the Exchange Act Section 15(a). Similarly, purchasing and selling securities for your own account has long been …

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The Commission filed seventeen new cases last week. Those included 9 stemming from a sweep regarding the application of the new Marketing Rule. That Rule focuses on the use of hypotheticals in advertisements. The other cases centered on crypto assets, …

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