Headline: Report From SEC Small Business Advocate Details Capital Raising During Past Year Headline: SEC Charges Three Canadian Citizens in Fraudulent Penny Stock Scheme Headline: SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures Headline: SEC Proposes New Share Repurchase Disclosure Rules Headline: SEC Proposes Amendments to Money Market Fund Rules Headline: SEC Proposes Rules to Prevent Fraud in Connection With Security-Based Swaps Transactions, to Prevent Undue Influence over CCOs and to Require Reporting of Large Security-Based Swap Positions Headline: SEC Approves 2022 PCAOB Budget and Accounting Support Fee Headline: Wedbush Securities Charged with Unregistered Sales of Microcap Securities and Failing to Report Suspicious Transactions Headline: JPMorgan Admits to Widespread Recordkeeping Failures and Agrees to Pay $125 Million Penalty to Resolve SEC Charges Grimes Named Chief Administrative Law Judge at SEC Headline: SEC Charges Clinical Drug Trial Investigator with Insider Trading

Headline: SEC Charges Five Russians in $80 Million Hacking and Trading Scheme Headline: SEC Charges Private Equity Fund Adviser with Fee and Expense Disclosure Failures Headline: Nikola Corporation to Pay $125 Million to Resolve Fraud Charges Headline: William Birdthistle Named Director of Division of Investment Management Headline: SEC Charges Financial Company and Its President with Engaging in Fraudulent Schemes to Boost Stock Price Headline: Chair Gensler Announces Additions to Executive Staff Five Questions to Ask Before You Invest.

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