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- SEC to Permit Capital Raising Through Crowdfunding
- Investment Bank Group Fined US $50 Million by NY State Agency for Actions of Malfeasant Employee
- SEC Approves FINRA Proposal Requiring Certain TRACE-Eligible Securities to Be Reported as Soon as Practicable
- More Broker-Dealers Sanctioned for Overcharging Charities and Retirement Accounts for Mutual Funds