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SEC Imposes First Fines In Exchange-Traded Product Probe

By Al Barbarino (November 13, 2020, 10:13 PM EST) -- The U.S. Securities and Exchange Commission levied $3 million in fines against five firms for what it called unsuitable sales of complex, volatility-linked exchange-traded products on Friday, the first actions announced as part of its so-called exchange-traded products initiative....

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