Responsible persons include anyone “exercising control or sufficient influence over a financial product offered, financial service provided, or financial activity engaged in (or over products,
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Please note that our privacy policy, terms of use, cookies, and do not sell my personal information has been updated. The leader in news and
Even while the SEC may finally grant this boon, the agency and its cousin, the Commodity Futures Trading Commission (CFTC), are likely to continue their
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