SEC Charges 11 Wall Street Firms with Widespread Recordkeeping …
Aug 8, 2023 · The failures involved employees at multiple levels of authority, including supervisors and senior executives. Each of the broker-dealers was charged with violating certain recordkeeping provisions of the Securities Exchange Act of 1934 and with failing to reasonably …
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Twelve Firms To Pay More Than $63 Million Combined To Settle …
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Jan 13, 2025 · The Securities and Exchange Commission today announced charges against nine investment advisers and three broker-dealers for failures by the firms and their personnel to …
sec.gov
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Eleven Firms To Pay More Than $88 Million Combined To Settle …
3 weeks from now
The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment …
sec.gov
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SEC Fines 11 Firms More Than $88M For Recordkeeping Failures
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Sep 24, 2024 · The Securities and Exchange Commission (SEC) today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered …
fxnewsgroup.com
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SEC Fines Investment Advisors, Broker-dealers $63M For Record …
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Jan 14, 2025 · The Securities and Exchange Commission has announced multi-million dollar penalties for investment advisors and broker dealers, mostly resulting from record-keeping …
investmentnews.com
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SEC.gov | Twenty-Six Firms To Pay More Than $390 Million …
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Aug 14, 2024 · The failures involved personnel at multiple levels of authority, including supervisors and senior managers. The firms were each charged with violating certain …
sec.gov
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SEC Fines 11 Companies More Than $88 Million For Record …
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Sep 24, 2024 · The U.S. Securities and Exchange Commission (SEC) announced that 11 financial firms, including broker-dealers and investment advisers, have agreed to pay more …
theepochtimes.com
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Recordkeeping - Fines, Fines And More Fines - Another $555m For …
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Aug 11, 2023 · In May 2023 there was a small cluster of fines with the SEC and the CFTC fining three firms, two in the same group for ‘widespread and longstanding’ failures by the firms and …
thetalake.com
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SEC Issues $88 Million Fine Against 12 Firms For Record-Keeping …
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The Securities and Exchange Commission said it charged 12 firms with widespread and longstanding failures to maintain and preserve electronic communications that violated record …
msn.com
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SEC Fines 11 Firms For Recordkeeping Failures In Off-Channel ...
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Oct 21, 2024 · The Securities and Exchange Commission (SEC) continues its strict enforcement of recordkeeping requirements, fining 11 firms a combined $88.2 million for f...
ecclestonlaw.com
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SEC.gov | Two Robinhood Broker-Dealers To Pay $45 Million In …
3 weeks from now
Jan 13, 2025 · The order further finds that both firms violated Rule 30 (a) of Regulation S-P, Rule 201 of Regulation S-ID, and the broker-dealer recordkeeping and reporting provisions of the …
sec.gov
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