SEA 1934 Rule 21F-17(a)
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SEC whips out final orders for violations grounded in supervisory, oversight lapses
Final settlement orders announced last week include those against firms for infractions often based in compliance program lapses.
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Violations of Whistleblower Protection Rule land RIA in hot water
GQG Partners crafted contractual language preventing disclosure of potential securities law violations by prospective and former employees.
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JPMorgan to pay $18m for whistleblower protection rule violations
Firm said to have asked hundreds of clients to sign release preventing them from disclosing rulebreaking.