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.
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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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