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News November 2, 2015 Issue

Rule 105 Dragnet: SEC Snares Six More Advisers, One for the Second Time

Itís round three in the ongoing SEC Rule 105 initiative. With apparent satisfaction that its campaign against advisers that participate in public stock offerings after short selling those same stocks is going well, the agency recently announced six more settlements that brought in more than $2.5 million in fines.

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