United States:
SEC Waives "Bad Actor" Disqualification For Dually Registered Investment Adviser And Broker-Dealer
11 April 2017
Cadwalader, Wickersham & Taft LLP
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The SEC Division of Corporation Finance granted relief to Citigroup Global Markets
Inc. ("CGMI") from any disqualification under Rule 506 of
Regulation D regarding a January 26, 2017 Order that found CGMI to
have overbilled clients (see
previous coverage).
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