The document outlines restrictions and orders related to Covered Persons under SEC regulations. It details conditions under which a Covered Person is barred from association with regulated entities, engaging in securities, insurance, or banking, and participating in savings or credit union activities. It also covers SEC disciplinary orders and cease-and-desist orders related to fraudulent, manipulative, or deceptive conduct.
doj/DataSet10/EFTA01386098.pdf
{"key_people":["Paul Barrett"],"document_type":"legal","document_subtype":"SEC Orders and Regulations","key_organizations":["SEC","Securities Exchange Act of 1934","Investment Advisers Act of 1940"],"reference_numbers":["DB-SDNY-0087645","SDNY_GM_00233829","EFTA01386098"]}