Brooke Conner

Vedder Price

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Regulatory Scrutiny of “Off-Channel” Communications Continues: 11 Wall Street Firms Agree to Pay the SEC $289 Million in Civil...

On August 8, 2023, the United States Securities and Exchange Commission (the “SEC” or the “Commission”) announced that 11 Wall Street firms (10 broker-dealer firms and one dually-registered investment adviser) agreed to...more

8/11/2023 / Broker-Dealer , Investment Adviser , Investment Advisers Act of 1940 , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

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Brooke Conner

Vedder Price

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Latest Posts › Broker-Dealer

Regulatory Scrutiny of “Off-Channel” Communications Continues: 11 Wall Street Firms Agree to Pay the SEC $289 Million in Civil...

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