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The SIPA | 2020 | March

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for March, 2020

Demand for Firms Could Increase

Puzzling SEC enforcement action The Securities and Exchange Commission recently brought an action against John Fierro and his company JDF Capital(JDF) for violations of…..rule 144?  We have read the release, we have consulted with known securities lawyers and I can safely say we are not alone in trying to figure out why this action was […]
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