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Settlement follows criminal case plea that could land the CCO in jail
The SEC proposes revising a rule that governs the publication of securities' quotations
The SEC is proposing amending rule 0–5 under the Investment Company Act to establish an expedited review procedure for applications
The Commission’s complaint alleged that, from 2010 through 2014, while operating and advising a group of hedge funds through FMC and FMC S.R.L., Conrad failed ...
