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SEC Brings Significant SPAC Enforcement Action

By Toby M. Galloway on July 14, 2021
Posted in Broker Dealer, General Counsel & D&O, Investment Adviser

On July 13, the SEC announced charges against an array of participants in a de-SPAC transaction.[1]  Among those charged are the SPAC, the SPAC’s sponsor, the SPAC’s CEO, the merger target, and the merger target’s CEO.[2]
Continue Reading SEC Brings Significant SPAC Enforcement Action

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