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SEC Strikes $9M Deal With Adviser Over Short-Selling Lapses

By Al Barbarino (August 17, 2021, 5:48 PM EDT) -- The U.S. Securities and Exchange Commission struck a nearly $9 million settlement with a Canadian investment advice firm and two of its officials Tuesday, claiming that they caused hedge fund brokers to mark orders as "long" instead of "short" in violation of the agency's short-selling rules....

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