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Benjamin J. Catalano

Benjamin J. Catalano

Proskauer Rose LLP


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SEC Rule 15a-6 Enforcement

Last week the Securities and Exchange Commission ("SEC") charged four India-based financial services firms for providing brokerage services to U.S. institutional investors without operating under a 15a-6 chaperoning agreement...more

12/5/2012 - Issuer Exemption Rule 15a-6 SEC

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