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: Securities Law Prof Blog

D.C. District Court Finds Courts Cannot Impose Penalties for Aiding & Abetting Advisers Act Violations

By Securites Lawprof

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In what the court describes as a "case of first impression," the federal district court for the District of Columbia held that the SEC does not have the authority to seek, and the court lacks jurisdiction to impose, monetary penalties...

Full post as published by Securities Law Prof Blog on May 20, 2008 (boomark / email).

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