SEC’s $seventy nine Million Crackdown: 10 Corporations Hit with Recordkeeping Failures

      Admin
      SEC’s $seventy nine Million Crackdown: 10 Corporations Hit with Recordkeeping Failures

      The Securities and Alternate Commission (SEC) has imposed
      penalties totaling $seventy nine million on ten corporations for allegations of insufficient
      recordkeeping. The regulator acknowledged the crackdown had exposed a type
      of insufficient electronic dialog maintained all the way in which thru dealer-sellers and
      investment advisers.In a decisive switch, the SEC took action against five
      dealer-sellers…
      Read More

      Related Posts