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The analysis from the SEC's Office of Compliance Inspections and Examinations said home offices needed to ensure that policies were communicated and implemented across all branches.
The SEC claimed that Hughe Duwayne Graham, Donald Lee Howard and Larry Louis Matyas collectively made more than $920,000 in commissions for soliciting investors about purchasing stock in U.S. Lighting Group.
Speaking at the custodians' conference, the panel said a divided Congress would likely mean a diminished COVID-19 stimulus as well as a more difficult road for President-elect Joe Biden's tax policies.