SEC-PR-2024-98 (Aug. 14, 2024) Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures – Three firms received credit for self-reporting and will pay reduced civil penalties The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread […]
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