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Broker-Dealer Must Face SEC's 'Short Tender Rule' Suit

By Katryna Perera (January 10, 2023, 4:45 PM EST) -- An Illinois federal judge declined to toss a suit lodged by the U.S. Securities and Exchange Commission against Lupo Securities, saying the brokerage firm, which the SEC claims violated the "short tender rule," has failed to show that the regulator inaccurately interpreted the rule....

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