Regulators continue to hammer firms with fines for violating rules regarding the use of unapproved communication methods by employees, issuing $120 million in fines this week. And for the first time, ...
Amid the latest round of fines for "off channel" communications, two SEC commissioners are questioning if firms really have any chance of regulatory compliance. The Securities and Exchange Commission ...
The ongoing off-channel communications sweep by the Securities and Exchange Commission (SEC) netted 16 more broker-dealers and investment advisers, with the latest wave of fines totaling more than $81 ...
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