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Trading and Markets

Two SEC commissioners had argued relief presented "an unacceptable risk to investors"
New guidance prompted by recent price volatility and trading volume of certain stocks
Find links to certain SEC Division of Trading and Markets-related documents in response to the effects of COVID-19
Accordingly, the Division will not recommend enforcement action to the Commission under Exchange Act Rule 17a-8 if abroker-dealer treats an investment adviser as if it ...

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