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Department of Justice Files Statement of Interest in Clanton, Alabama, Bond Case




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In Milestone for Sentencing Reform, Attorney General Holder Announces Record Reduction in Mandatory Minimums Against Nonviolent Drug Offenders




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Department of Justice Statement of Interest Supports Meaningful Right to Counsel in Juvenile Prosecutions

The Department of Justice today filed a statement of interest in the Superior Court of Fulton County, Georgia, in N.P. et al. v. The State of Georgia, et al.




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Attorney General Holder Applauds Settlement to Improve Right to Counsel in New York State




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Attorney General Holder Addresses the Bipartisan Summit on Criminal Justice Reform




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Remarks by Karen Lash, Access to Justice Deputy Director, on Civil Legal Aid Research at the University of South Carolina School of Law




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Justice Department Applauds Settlement to Improve Juvenile Right to Counsel in Georgia




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Director Lisa Foster of the Access to Justice Initiative Delivers Remarks at the Equal Justice Conference




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Justice Department Files Brief to Address the Criminalization of Homelessness




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Department of Justice Files Amicus Brief in Pennsylvania Right to Counsel Case




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Director Lisa Foster of the Office for Access to Justice Delivers Remarks at ABA’s 11th Annual Summit on Public Defense




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Justice Department Announces Resources to Assist State and Local Reform of Fine and Fee Practices




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U.S. Attorney’s Office Hosts Reentry Seminar in Tucson as Part of National Reentry Week




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Director Lisa Foster of the Office for Access to Justice Delivers Remarks at the Texas Fair Defense Act 15th Anniversary Symposium Celebration




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Department of Justice Files Amicus Brief in Idaho Right to Counsel Case




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Director Lisa Foster of the Office for Access to Justice Delivers Remarks at the ABA’s 2016 National Meeting of State Access to Justice Chairs




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Assistant Attorney General John P. Carlin Delivers Opening Remarks at the National Security Division 10 Year Anniversary Conference

Thank you, Sean, for your kind introduction. And thank you to CSIS for partnering with us in this conference and for your leadership and innovative thinking on critical policy issues that affect us all. I would like to take a few moments now to reflect on how the National Security Division (NSD) came to be and how, in our first decade, we have strived to achieve our twin aims: protecting the United States against national security threats while safeguarding our core freedoms.




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Justice Department Files Brief to Address Automatic Suspensions of Driver’s Licenses for Failure to Pay Court Debt




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Principal Deputy Associate Attorney General Bill Baer Delivers Remarks at Second International Conference on Access to Legal Aid in Criminal Justice Systems




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White House Legal Aid Interagency Roundtable Issues First Annual Report to the President




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Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data

The Securities and Exchange Commission today announced that Cantor Fitzgerald & Co. has agreed to pay $3.2 million to settle charges for providing the SEC with incomplete and inaccurate securities trading information known as “blue sheet data.”…




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SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) has issued two risk alerts: Examinations that Focus on Compliance with Regulation Best Interest and Examinations that Focus on Compliance with…




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In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds

The Securities and Exchange Commission today voted to adopt rule amendments to implement certain provisions of the Small Business Credit Availability Act and the Economic Growth, Regulatory Relief, and Consumer Protection Act relating to business…




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SEC Provides Temporary, Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses

The Securities and Exchange Commission today announced that it is providing temporary, conditional exemptive relief for business development companies (BDCs) to enable them to make additional investments in small and medium-sized businesses, including…




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Foreign National and American Trader Settle Fraud Charges in EDGAR Hacking Case

The Securities and Exchange Commission today announced settlements with David Kwon and Igor Sabodakha, two traders who allegedly profited from trading on nonpublic corporate earnings information hacked from the SEC’s EDGAR system. The settlement…




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SEC Enhances Standards for Critical Market Infrastructure

The Securities and Exchange Commission today adopted amendments to its rules for securities clearing agencies to apply enhanced standards to all SEC-registered central counterparties and central securities depositories. The rule amendments build on rules…




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SEC Charges Former Financial Services Executive With FCPA Violations

The Securities and Exchange Commission today charged a former executive of a financial services company with orchestrating a bribery scheme to help a client to win a government contract to build and operate an electrical power plant in the Republic of…




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SEC Awards Over $27 Million to Whistleblower

The Securities and Exchange Commission today announced an award of more than $27 million to a whistleblower who alerted the agency to misconduct occurring, in part, overseas.  After providing the tip to the Commission, the whistleblower provided…




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SEC Orders Three Self-Reporting Advisory Firms to Reimburse Investors

The Securities and Exchange Commission today announced settled charges against two advisers that self-reported as part of the Division of Enforcement’s Share Class Selection Disclosure Initiative, and a third adviser that self-reported within months…




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SEC Issues $5 Million Whistleblower Award

The Securities and Exchange Commission today announced a $5 million award to a whistleblower who provided significant information that led to a successful enforcement action.  The whistleblower provided critical evidence of wrongdoing, which helped…




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SEC Provides for Phased CAT Broker-Dealer Reporting Timelines with Conditional Exemption for Impacts of COVID-19

The Securities and Exchange Commission announced it has voted to issue two exemptive orders in order to move Consolidated Audit Trail (CAT) implementation forward: (1) establishing a phased CAT reporting timeline for broker-dealers, and (2) permitting…




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SEC Proposes to Modernize Framework for Fund Valuation Practices

The Securities and Exchange Commission today announced that it has voted to propose a new rule that would establish a framework for fund valuation practices.  The rule is designed to clarify how fund boards can satisfy their valuation obligations in…




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Louis Gracia and Vanessa Horton Named Associate Directors of Investment Adviser/Investment Company Examination Program in Chicago Regional Office

The Securities and Exchange Commission today announced that Louis Gracia and Vanessa Horton have been named Associate Directors of the Investment Adviser/Investment Company (IA/IC) examination program in the agency's Chicago Regional Office. Together, Mr…




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SEC Forms Cross-Divisional COVID-19 Market Monitoring Group

The Securities and Exchange Commission today announced the formation of an internal, cross-divisional COVID-19 Market Monitoring Group.  This temporary, senior-level group will assist the Commission and its various divisions and offices in (1)…




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SEC Announces Investor Advisory Committee Meeting Focusing on COVID-19

The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on May 4, 2020, by remote means.  The meeting will begin at 2 p.m. ET, is open to the public via live webcast, and will be archived…




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SEC Charges Company and CEO for COVID-19 Scam

The Securities and Exchange Commission today announced charges against Praxsyn Corp. and its CEO for allegedly issuing false and misleading press releases claiming the company was able to acquire and supply large quantities of N95 or similar masks to…




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SEC Awards Over $18 Million to Whistleblower

The Securities and Exchange Commission today announced an award of more than $18 million to a whistleblower whose significant information prompted an examination that resulted in an important enforcement action. The whistleblower repeatedly reported the…




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Small Business Capital Formation Advisory Committee to Discuss the SEC’s Capital Formation Proposal on May 8

The Securities and Exchange Commission today released the agenda for the Friday, May 8 meeting of its Small Business Capital Formation Advisory Committee, which will be hosted via video conference. The Committee will discuss the Commission’s recent…




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SEC Awards Almost $2 Million to Whistleblower

The Securities and Exchange Commission today announced an award of nearly $2 million to a whistleblower whose information and assistance helped the agency bring a successful enforcement action and allowed investors to recover much of their money. …




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SEC Provides Temporary, Conditional Relief to Allow Small Businesses to Pursue Expedited Crowdfunding Offerings

The Securities and Exchange Commission today announced that it is providing temporary, conditional relief for established smaller companies affected by COVID-19 that may look to meet their urgent funding needs through a Regulation Crowdfunding offering.…




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SEC Commemorates Teacher Appreciation Week, Highlights Ongoing Commitment to Serving Teachers

The Securities and Exchange Commission announced that it is premiering new multimedia resources to support teachers in connection with Teacher Appreciation Week. This content builds on the Commission’s longstanding efforts to serve teachers in both their…




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SEC Directs Equity Exchanges and Financial Industry Regulatory Authority to Improve Governance of Market Data Plans

The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit a new National Market System plan (NMS plan) with a modernized governance…




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SEC Charges Bloomberg Tradebook for Order Routing Misrepresentations

The Securities and Exchange Commission today filed settled charges against registered broker-dealer Bloomberg Tradebook LLC for making material misrepresentations and omitting material facts about how the firm handled certain customer trade orders. The…




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SEC Investor Advisory Committee to Meet Virtually on May 21

The Securities and Exchange Commission's Investor Advisory Committee will hold a public meeting on May 21, 2020 by remote means.  The meeting will begin at 10 a.m. ET, is open to the public via live webcast, and will be archived on…




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U.S. v. PCI FlorTech, Inc.

Document filed on September 19, 2019





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U.S. v. Francis Alvarez

Document filed on October 2, 2019