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The weekly news source for investment management legal and compliance professionals

News October 26, 2015 Issue

SEC Will No Longer Seek Certain Retroactive Collateral Bars

The SEC this month decided not to challenge a unanimous July 14 ruling of the U.S. District Court of Appeals for the District of Columbia that found the agency erred in imposing certain retroactive collateral bars against an adviser, Koch Asset Management. Those retroactive collateral bans would have prevented the adviser from associating with municipal advisers or nationally recognized statistical rating organizations.

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