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Civil Monetary Penalty Securities and Exchange Commission (SEC) MNPI

Seward & Kissel LLP

SEC Settles Charges Against Firm for Disclosing MNPI on Block Trades

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Who may be interested: Registered Investment Companies, Investment Advisers, Broker-Dealers - Quick Take: The SEC settled charges against a firm and the former head of the firm’s equity syndicate desk, arising out of a...more

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