UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No. 19-1997 KEITH P. SEQUEIRA, Petitioner v. SECURITIES & EXCHANGE COMMISSION On Petition for Review of an Order of the Securities and Exchange Commission (Agency No. SEC-1:3-17734r) Submitted Pursuant to Third Circuit LAR 34.1(a) May 11, 2020 Before: AMBRO, GREENAWAY, JR. and PORTER, Circuit Judges (Opinion filed June 11, 2020)

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