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The Office of Inspector General’s final report details the Audit of the SEC’s Compliance With the DATA Act for Fiscal Year 2019

Why did the SEC perform this Audit? The Digital Accountability and Transparency Act of 2014 (DATA Act) requires the Inspector…

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Part 6: Highlights from LACBA’s 52nd Annual Securities Regulation Seminar – Cyber Regulation and Enforcement

Panel: Cyber Regulation and Enforcement The Cyber Regulation and Enforcement Panel at LACBA’s 52nd Annual Securities Regulation Seminar discussed the…

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Part 5: Highlights from LACBA’s 52nd Annual Securities Regulation Seminar – Keynote Speaker: SEC Commissioner Robert J. Jackson, Jr.

Keynote Speaker: SEC Commissioner Robert J. Jackson, Jr. The Keynote Speaker during lunch at LACBA’s 52nd Annual Securities Regulation Seminar…

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Part 4: Highlights from LACBA’s 52nd Annual Securities Regulation Seminar – SEC Division of Corporation Finance Update

Panel: SEC Division of Corporation Finance Update This U.S. Securities and Exchange Commission (SEC) Division of Corporation Finance Update Panel…

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Part 3: Highlights from LACBA’s 52nd Annual Securities Regulation Seminar – Enforcement Developments

Panel: Enforcement Developments This Enforcement Developments Panel focused on a review of U.S. Securities and Exchange Commission (SEC) and U.S….

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Part 2: Highlights from LACBA’s 52nd Annual Securities Regulation Seminar – Legislative, Regulatory and Legal Developments in Securities Laws

Panel: Legislative, Regulatory and Legal Developments in Securities Laws This Legislative, Regulatory and Legal Developments in Securities Laws Panel discussed…

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