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HIGH NOON for FINRA.

• Authors : KLEBNIKOV, SERGEI (AUTHOR); SCHIFRIN, MATT (AUTHOR)

Subjects: Business planning; United States. Securities & Exchange Commission; Interest rates

• Source: Forbes. Oct/Nov2024, Vol. 207 Issue 5, p132-140. 7p. 1 Chart, 1 Cartoon or Caricature.

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Crypto.com Files Suit Against SEC After Getting Wells Notice.

• Authors : Shen, Muyao (AUTHOR)

Subjects: United States. Securities & Exchange Commission; Social media; Clearing of securities

• Source: Bloomberg.com. 10/8/2024, pN.PAG-N.PAG. 1p.

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FEDERAL REGISTER.

Subjects: *PDF (Computer file format); *Securities fraud; *Going public (Securities)

• Source: Federal Register (National Archives & Records Service, Office of the Federal Register). 6/2/2021, Vol. 86 Issue 104, pI-ii. 200p.

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Mango Markets DAO Members Vote in Favor of SEC Settlement.

• Authors : Kharif, Olga (AUTHOR)

Subjects: United States. Securities & Exchange Commission; Government policy; Injunctions

• Source: Bloomberg.com. 8/20/2024, pN.PAG-N.PAG. 1p.

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Nikola Founder Milton Faces New York Jury in His Toughest Sales Job.

• Authors : Dolmetsch, Chris (AUTHOR)

Subjects: *CLEARING of securities; *SECURITIES fraud; *SHORT selling (Securities)NEW York (State)

• Source: Bloomberg.com. 9/12/2022, pN.PAG-N.PAG. 1p.

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Elon Musk still has to have his Tesla tweets approved by a lawyer despite his best efforts to get out of the arrangement.

• Authors : Neumeister, Larry (AUTHOR)

Subjects: Musk, Elon, 1971-; Tesla Inc.; Legal judgments

• Source: Fortune.com. 5/16/2023, pN.PAG-N.PAG. 1p.

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Bausch Health Investors Seek to Block Eye-Care Business Spinoff.

• Authors : Feeley, Jef (AUTHOR)

Subjects: Bausch Health Cos. Inc.; Business enterprises; Securities fraud

• Source: Bloomberg.com. 12/12/2022, pN.PAG-N.PAG. 1p.

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H.K. Doctor Is Cleared in Massive Securities Fraud Probe.

• Authors : Robertson, Benjamin (AUTHOR); Prasso, Sheridan (AUTHOR)

Subjects: *CLEARING of securities; *SECURITIES fraud; *STOCKBROKERSHONG Kong (China)

• Source: Bloomberg.com. 11/30/2020, pN.PAG-N.PAG. 1p.

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Allianz Fund Collapse Ends in Guilty Plea, $5.8 Billion Deal.

• Authors : Van Voris, Bob (AUTHOR); Kahl, Stephan (AUTHOR)

Subjects: Allianz SE; Guilty pleas; Insider trading in securities

• Source: Bloomberg.com. 5/17/2022, pN.PAG-N.PAG. 1p.

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Elon Musk Wasn't Happy When Jack Dorsey Left Twitter. Then He Took a 9% Stake.

• Authors : Trudell, Craig (AUTHOR); Turner, Giles (AUTHOR)

Subjects: Musk, Elon, 1971-; X Corp.; Securities fraud

• Source: Bloomberg.com. 4/4/2022, pN.PAG-N.PAG. 1p.

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