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SEC Offers To Remove Industry Bans After DC Circ. Ruling

Law360, Los Angeles (October 9, 2015, 8:34 PM EDT) -- The U.S. Securities and Exchange Commission said on Friday that investment advisers banned under the agency’s retroactive enforcement of a Dodd-Frank Act policy could appeal their punishment after the D.C. Circuit...
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Appellate - DC Circuit

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Date Filed

July 11, 2014

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