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- SEC Kicks Canada-Based ICO Issuer; Claims It Conducted Unregistered Securities Offering to US Persons
- CME Sanctions Trader for Liquidating Large Positions Without Considering Market Impact
- SEC Adopts New Regulation to Ensure Retail Customers’ Best Interest Takes Priority Over Broker-Dealer’s
- NFA Proposes Overhaul of Requirements for Supervision of Branch Offices and Guaranteed IBs
- Misusing Client Block Trades’ Information and Phone Recording Breakdown Result in NFA Sanctions Against Multiple Parties