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News July 15, 2019 Issue

Clayton Backs Simultaneous Resolution of Settlement Offers and Waiver Requests

Advisers and their attorneys face a problem when the SEC acts on a settlement offer but holds off on granting related waiver requests leaving them in the position of having to decide whether to accept a settlement without knowing whether needed waivers are forthcoming. Those facing agency enforcement will likely be happy to know that SEC Chairman Jay Clayton this month came down on the side of simultaneous resolution of both.

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