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Home > Financial > SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures
Aug9 - 23

SEC Charges 11 Wall Street Firms with Widespread Recordkeeping Failures

The Securities and Exchange Commission (SEC) has brought charges against 10 broker-dealer firms and one dual-registered broker-dealer and investment adviser. These charges stem from extensive and persistent failures by the firms and their employees to properly maintain and retain electronic communications. Learn more here.

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