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SEC Brings Significant SPAC Enforcement Action

By Toby M. Galloway & Jamie Lacy 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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The Securities Litigation and Regulatory Enforcement resource website provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators.  This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsel (GCs) and directors and officers (D&Os) throughout Texas and across the nation.

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