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On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer (the "Firm") for violations of Regulation S-P ("Reg S-P").
On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer...
On June 7, 2021, the Federal Trade Commission (FTC) announced a settlement with MoviePass relating to allegations that MoviePass and its executives took steps to block subscribers from...