Tag: brokers

Controls and records are often critical to the functioning of a company. Broker-dealers, as regulated entities, are required to maintain certain systems and records to aid in fulfilling their obligations. One requirement is to effectively respond to a Commission request …

Broker Admits Violations of Securities Laws to Settle with SEC Read More »

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The retail investor focus of SEC Enforcement has spawned a series of actions involving investment advisers. Many of those cases centered on undisclosed conflicts such as the series of actions filed in the run up to the end of the …

SEC Files Two Broker Bribery Scheme Actions Read More »

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