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an administrative proceeding, however an order barring somebody from appearing as a corporate officer or director should be obtained in federal courtroom. Often, when the misconduct warrants it, the Commission will convey both proceedings. The Division’s staff supplies steering and counseling to registrants, prospective registrants, and the general public to help them comply with the law. For example, a company would possibly ask whether or not the offering of a specific security requires registration with the SEC. Corporation Finance would

 

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