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Some Whistleblowers Have Concerns About the SEC’s Interpretation of “Independent Analysis”

A new rule interpretation announced by the Securities and Exchange Commission has created concern among whistleblowers, who believe it could weaken incentives for whistleblowers to come forward with information about Read More

Merrill Lynch to Pay Large Fine, Admit to SEC Rules Violations

In late June, Merrill Lynch, Pierce, Fenner & Smith Inc. and Merrill Lynch Professional Clearing Corp. agreed to wrongdoing and a fine of $415 million to settle charges involving violations of Read More

Viewing 1 - 2 out of 2 posts