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SEC: UBS To Pay $8M For ETP Compliance Lapses

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WealthManagement.com Daily Memo

JULY 19, 2021

SEC: UBS To Pay $8M For ETP Compliance Lapses

Patrick Donachie

The penalty over advisors' use of the iPath S&P 500 VIX Short-Term Futures ETN marks the second settlement to result from the SEC's ETP Initiative.

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