United States:
SEC Overstepped Authority In Retroactive Civil Fine Hike: Lawyers
08 September 2016
WilmerHale
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The Securities and Exchange Commission overstepped its authority
by embracing a retroactive civil monetary penalty fee hike that
could spark lawsuits from broker-dealers and advisors with
outstanding fees, securities attorneys warn.
Click here to continue reading.
Originally published by ThinkAdvisor on August 30,
2016.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
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