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The SEC overstepped its authority by embracing a retroactive civil monetary penalty fee hike that could spark lawsuits from broker-dealers and advisors with outstanding fees...
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.
Originally published by ThinkAdvisor on August 30,
2016.
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