SEC’s Recordkeeping Crackdown No Joke, $81 Million Fine

Regulation and Enforcement | Feb 14, 2024 Takeaways from the SEC's Latest Enforcement on Off-Channel Communications As highlighted in this article by Mayer Brown, on February 9, 2024, the Securities and Exchange Commission (SEC) recently announced charges against a collective of financial entities, comprising 5 broker-dealers, 7 dually registered broker-dealers and investment advisers, and 4

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