Dual-Registrants to Pay $35 Million for Unsuitable Recommendations Regarding Single-Inverse ETFs March 11, 2020 The SEC fined two affiliated dual-registrants a total of $35 million in connection with unsuitable...
SEC Charges Dual-Registrant in Connection with Share Class Disclosures and Principal Trading Violations November 25, 2019 The SEC filed a complaint against a Massachusetts-based dual-registrant for failing to disclose...
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