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Securities Regulation Daily Wrap Up
- TOP STORY—N.D. Cal.: Pushing the envelope, SEC ‘shadow’ insider trading case advances
- FINANCIAL INTERMEDIARIES—ESMA report details guidance rules for inside information under Market Abuse Regulation
- INTERNATIONAL NEWS—IOSCO seeks feedback on digitalization risks, publishes best practices for global cooperation
- ENFORCEMENT—Adviser raised over $3 million through unregistered fraudulent offerings
- FRAUD AND MANIPULATION—S.D.N.Y.: SEC complaint plausibly alleged Rule 10b-5 violation
- IPO TRACKER—TPG is first 2022 new issuer to raise $1 billion in IPO
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