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Are Tougher SEC Penalties on the Horizon?

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Two U.S. senators are proposing a bill that would authorize the SEC to hand down tough new penalties against registered investment professionals and their firms.


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Published In: Business Torts Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Bettina Eckerle, B.E. Compliance, LLC | Attorney Advertising

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