Eleven Firms to Pay More Than $88 Million Combined to Settle SEC's Charges for Widespread Recordkeeping Failures
September 24, 2024) - The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser,
Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel ...
In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...
The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being ...
The Securities and Exchange Commission said 12 firms agreed to pay combined civil penalties of $88.3 million for violating ...
The Securities and Exchange Commission charged 12 firms with record-keeping violations, and levied a total of more than $88 ...
A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...
US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...
The firms will pay a total of $88.2 million in civil penalties.
The U.S. Securities and Exchange Commission (SEC) has charged 12 firms for failing to retain employees' electronic conversations, the latest repercussions of the so-called WhatsApp investigations.
Day SEC Yield of 2.76% as of Sept. 23. Payable Sep 27; for shareholders of record Sep 23; ex-div Sep 23. More on Invesco ...
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