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Securities Investigations and Enforcement Newsletter — April 2025

SEC Reportedly Announces Major Reorganization of Enforcement and Exams Divisions

SEC Reportedly Plans to Cut Regional Directors as Cost-Saving Measure

Securities Investigations and Enforcement Newsletter – January 2025

SEC 2024 Enforcement Results: A Decline in Total Enforcement, but a Record-Breaking Recovery of Financial Remedies

SEC Charges Broker-Dealer and Two Affiliated Investment Advisers With Violating Whistleblower Protection Rule

Supreme Court Limits SEC’s In-House Adjudication

FINRA’s First Disciplinary Action Targeting Firm’s Use of Social Media Influencers
