Tag: Christopher Cox

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SEC proposes expansion of private fund reporting requirements | Pensions & Investments

Added to Collection on: 2022-01-26 21:05:31

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Finance
Money
Economy
Financial markets
Alternative investment management companies
Investment
Hedge fund
U.S. Securities and Exchange Commission
Private-equity firm
Private equity
Private-equity fund
Christopher Cox
Hester M. Peirce

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Spotlight to Get Brighter on Private Fund Advisers for SEC Exams in 2022 | Goodwin - JD Supra

Added to Collection on: 2022-04-07 21:29:55

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Corporate crime
U.S. Securities and Exchange Commission
Security
Financial markets
Finance
Money
Institutional investors
Christopher Cox

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SEC sues Florida firm that raised $410 mln for IPO-linked fraud -filings | Reuters

Added to Collection on: 2022-05-13 19:49:00

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Corporate crime
U.S. Securities and Exchange Commission
Initial public offering
Agencies of the United States government
Christopher Cox
StraightPath Venture Partners LLC
New York

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SEC sues Florida firm that raised $410 million for IPO-linked fraud | Reuters

Added to Collection on: 2022-05-14 13:02:28

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Corporate crime
U.S. Securities and Exchange Commission
Initial public offering
Agencies of the United States government
Christopher Cox
StraightPath Venture Partners LLC
New York

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SEC renews commitment to champion corporate sector, capital market development

Added to Collection on: 2022-07-12 13:32:43

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Real estate investment trust
Financial markets
U.S. Securities and Exchange Commission
Security
Agencies of the United States government
Finance
United States corporate law
Christopher Cox

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Automatic e-delivery of investment documents gains bipartisan support - InvestmentNews

Added to Collection on: 2022-12-19 19:31:20

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Corporate crime
Financial markets
Agencies of the United States government
U.S. Securities and Exchange Commission
Security
Economy of the United States
73rd United States Congress
Christopher Cox
Commodity Futures Modernization Act

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Gemini and Genesis Charged by US SEC With Selling Unregistered Securities - Crypto News

Added to Collection on: 2023-01-13 12:05:59

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Agencies of the United States government
Federal government of the United States
Corporate crime
U.S. Securities and Exchange Commission
Gary Gensler
Executive branch of the United States government
Christopher Cox
Genesis Global Capital LLC
Gemini Trust Company LLC

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SEC urges expedited discovery in Binance case; cites 'mass exodus' of US executives who ...

Added to Collection on: 2023-09-18 21:28:01

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Corporate crime
U.S. Securities and Exchange Commission
73rd United States Congress
SEC filings
Christopher Cox
Binance
United States

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SEC's Predictive Data Analytics Rule Will Help Prevent Abusive AI Practices that Hurt Retail Investors

Added to Collection on: 2024-04-02 20:55:31

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Stock market
Corporate crime
U.S. Securities and Exchange Commission
Security
Conflict of interest
Christopher Cox
Mutual fund scandal

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Canada's TD Bank to pay over $20 mln over US 'spoofing' charges - Mint

Added to Collection on: 2024-09-30 22:07:16

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Corporate crime
Stock market
U.S. Securities and Exchange Commission
Security
Toronto?Dominion Bank
Christopher Cox
TD Securities
U.S. Justice Department

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