Back to Results
First PageMeta Content
United States securities law / Self-regulatory organizations / Stock market / Securities / Financial services / OTC Bulletin Board / U.S. Securities and Exchange Commission / Securities Exchange Act / Financial Industry Regulatory Authority / Financial economics / Financial system / Finance


Securities Alert OCTOBER 2 4‚ 2011 SEC’s Microcap Fraud Working Group Roundtable Airs Problems, Offers Suggestions BY M EGAN N. GATES AND C. QUI NCY EW ELL
Add to Reading List

Document Date: 2011-10-24 15:59:37

Open Document

File Size: 203,99 KB

Share Result on Facebook

City

Boston / /

Company

Microcap Securities / Mintz Levin Securities / the Depository Trust & Clearing Corporation / Microcap Fraud Working Group / Regulatory Framework Concerning Microcap Securities / Lo s A / /

Event

Person Communication and Meetings / /

Facility

One Financial Center / /

IndustryTerm

law / /

Organization

office of Compliance Inspections and Examinations / federal government / U.S. Securities and Exchange Commission / OTC Bulletin Board / Securities and Exchange Commission’s Division of Enforcement / FINRA / Department of the Treasury / /

Position

attorney / representative / legal counsel / investment adviser / /

ProvinceOrState

Massachusetts / /

URL

http /

SocialTag