Tag: Capital market firms
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JUST IN: SEC moves to withdraw operational certificates of 157 capital market firms [Full List]
The Securities and Exchange Commission (SEC) has commenced process that may lead to cancellation and withdrawal of certificates of not less than 157 inactive capital market firms. In a circular dated November 10, 2020 and titled “Pre-Notice on Cancellation/Withdrawal of Certificates of Registration of Inactive Capital Market Operators,” SEC stated the 157 capital market operators,…