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Searching Content indexed under Corporate/Commercial Law by Steven M Kaufmann ordered by Published Date Descending.
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Individual Liability: What’s Behind the Headlines?
It's been open season on financial institutions since the 2008-2009 financial crisis . State and federal prosecutors and regulators are competing with each other for press coverage.
United States
25 Jul 2014
2
Financial Regulatory Enforcers Expanding Claims Against Individuals
Federal and state regulators are increasingly taking action against individuals for alleged compliance lapses inside financial services companies.
United States
2 May 2014
3
A Short Summary Of Short Selling Regulations
On July 15, 2008, the SEC issued an emergency order barring naked short sales of the stock of Fannie Mae, Freddie Mac and 17 financial firms, including Lehman Brothers, Goldman Sachs, Merrill Lynch and Morgan Stanley.
United States
5 Aug 2008
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