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SEC Charges Seven Public Companies in Whistleblower Protection Sweep

SEC Charges Seven Public Companies in Whistleblower Protection Sweep

Plus SEC Chair Mark Cuban?

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Bruce Carton
SEC Requests Dismissal of All Active Accountant Misconduct Cases Pending Before ALJs

SEC Requests Dismissal of All Active Accountant Misconduct Cases Pending Before ALJs

Plus why is Caleb Williams in this newsletter?

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Bruce Carton
SEC Charges Three Registrants with Violating Whistleblower Protection Rule

SEC Charges Three Registrants with Violating Whistleblower Protection Rule

Plus the SEC opts not to appeal Fifth Circuit rejection of private funds rule.

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Bruce Carton
SEC Charges Moody's, S&P and Other Credit Rating Agencies With Off-Channel Communications

SEC Charges Moody's, S&P and Other Credit Rating Agencies With Off-Channel Communications

Plus 19 states launch a challenge to the SEC's Consolidated Audit Trail.

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Bruce Carton
Are Record-Low FINRA Enforcement Actions a Good Thing or a Bad Thing?

Are Record-Low FINRA Enforcement Actions a Good Thing or a Bad Thing?

Plus a federal court dismisses lawsuit against Elon Musk for promoting Dogecoin.

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Bruce Carton
Austal USA Settles SEC Charges of Accounting Fraud, Pleads Guilty in Parallel Criminal Case

Austal USA Settles SEC Charges of Accounting Fraud, Pleads Guilty in Parallel Criminal Case

Plus a poll: Is the accounting profession about to see a significant pay increase?

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Bruce Carton
SEC Sues Investment Adviser for Failing to Prevent Misuse of Material Nonpublic Information

SEC Sues Investment Adviser for Failing to Prevent Misuse of Material Nonpublic Information

Plus the SEC charges two brothers with $60 million crypto Ponzi scheme.

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Bruce Carton
Whistleblower Who Provided SEC With "Critical Information" to Receive $82 Million Award

Whistleblower Who Provided SEC With "Critical Information" to Receive $82 Million Award

Plus a federal court denies Kraken's motion to dismiss the SEC's case.

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Bruce Carton
Ninth Circuit Upholds Dismissal of Law Firm's Case Against SEC on Use of Ether

Ninth Circuit Upholds Dismissal of Law Firm's Case Against SEC on Use of Ether

Plus just one month until Securities Enforcement Forum Central 2024 in Chicago!

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Bruce Carton
Binance's Compliance Spending to Top $200M in 2024 as Part of "50 to 100 Year" Plan

Binance's Compliance Spending to Top $200M in 2024 as Part of "50 to 100 Year" Plan

Plus the impact of silence from the SEC on whistleblowers.

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Bruce Carton
SEC Approves New PCAOB Audit Standards, Including Move to Negligence Standard

SEC Approves New PCAOB Audit Standards, Including Move to Negligence Standard

Plus Michael Lewis is back for more hate with an update to "Going Infinite."

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Bruce Carton
Mike Lynch, Attorney Chris Morvillo Among Missing After Yacht Sinks Off Coast of Sicily

Mike Lynch, Attorney Chris Morvillo Among Missing After Yacht Sinks Off Coast of Sicily

Plus the SEC charges Carl Icahn, Icahn Enterprises, for failure to disclose information relating to securities pledges

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Bruce Carton
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