By Scott Moss, Jimmy Kang and Jeremy Cantor ( September 24, 2024, 4:55 PM EDT) -- On Aug. 19, the U.S. Securities and Exchange Commission settled with a registered investment adviser Obra Capital Management LLC,[1] whereby the adviser paid a $95,000 civil money penalty in addition to being censured for violations of Rule 206(4)-5, the SEC's pay-to-play rule for investment advisers.[2]...
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